Emily T. Hermeno

PROSPERITY ROAD

SANTA ANA, CA 92705

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CRD#: 4868466

Professional summary

Emily Tubola Hermeno, CFP® is a registered financial advisor currently at PROSPERITY ROAD, LLC located in Santa Ana, California.

Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Emily has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

FINANCIAL ADVOCATES LLP 3100 BRISTOL STREET, SUITE 125 COSTA MESA, CA 92626 NON-INVESTMENT RELATED CPA FIRM MANAGER EMPLOYMENT DATE: 04/01/06 15-20 HOURS PER MONTH, 1/3 OF WHICH ARE DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Tubola Hermeno'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

December 18, 2015 - Present

PROSPERITY ROAD, LLC

Office #1: 12341 Newport Avenue Ste. A-100, Santa Ana, CA 92705

RIA

CRD#: 281894

SANTA ANA, CA

Past

September 12, 2006 - June 21, 2018

FINANCIAL ADVOCATES LLC

RIA

CRD#: 130793

NEWPORT BEACH, CA

Past

July 14, 2005 - March 20, 2006

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

IRVINE, CA

Past

March 10, 2005 - March 20, 2006

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

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".

PROSPERITY ROAD, LLC

CRD#: 281894 / SEC#: 801-118900

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (7/25/2020 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.

Highlighted states indicate IAR registrations

IAR

California
(12/18/2015)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/6/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/9/2005

General Securities Representative Examination

Current Firm

PROSPERITY ROAD, LLC

CRD#: 281894 / SEC#: 801-118900

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (7/25/2020 Terminated)

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Contact information

Main Address

12341 Newport Avenue Ste. A-100, Santa Ana, CA 92705

Mailing Address

Phone number

(714) 241-0212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY ROAD DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (3/14/2025)

Regulatory assets under management

Total Number of Accounts	167
AUM (Assets Under Management)	$ 156,902,175

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.

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Emily T. Hermeno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Tubola Hermeno's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERITY ROAD, LLC

FINANCIAL ADVOCATES LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

PROSPERITY ROAD, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/6/2005

Series 7

Date: 3/9/2005

Current Firm

PROSPERITY ROAD, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY ROAD, LLC

TRUST BUT VERIFY

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