James S Young III | Financial Professional | Tallahassee, Florida | PROSPERITY WEALTH MANAGEMENT, INC.

Professional summary

James S Young III, who also goes by James S Young, is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in Tallahassee, Florida and FORTUNE FINANCIAL SERVICES, INC. located in Tallahassee, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James S Young

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)Name: Synergy Medical Services LLC, Inv Rel: Y Addr: 115 Beverly Parkway Pensacola FL 32503, Nature: Home Health Care Position: Owner, Start: 4/1/2024, No Hr/Mo: 9 No Hr/Mo Dur Trading: 0 Duties: Oversee all activity within organization. Consult with leadership concerning budget and marketing 2) insurance sales thru Divergent Advisors - start date: June 2025 - 10 - 20 hrs during trading hrs 3) IAR thru Prosperity Wealth Management - start date 2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James S Young III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 8, 2025 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

Office #1: 1725 Cap Cir Ne Ste 201, Tallahassee, FL 32308

RIA

CRD#: 174328

Tallahassee, FL

Current

April 4, 2025 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 1725 Capital Circle Ne Suite 201, Tallahassee, FL 32308

BD

CRD#: 42150

Tallahassee, FL

Past

November 13, 2024 - December 17, 2024

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Past

October 6, 2005 - March 26, 2024

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

TALLAHASSEE, FL

Past

September 24, 2004 - March 26, 2024

VALIC FINANCIAL ADVISORS, INC.

BD

CRD#: 42803

TALLAHASSEE, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Florida
(5/13/2025)

IAR

Florida
(7/8/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 6

Date: 9/23/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 791-4444

Established

Firm type

Fiscal year end

# of Employees

51

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,832
AUM (Assets Under Management)	$ 442,192,443

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James S. Young

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James S Young III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

PROSPERITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2005

SIE

Date: 10/1/2018

Series 6

Date: 9/23/2004

FINRA

Current Firm

PROSPERITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors