Frederic M. Wachtel

PROSPERITAS FINANCIAL

VALENCIA, CA 91355

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CRD#: 4996873

Professional summary

Frederic Matthew Wachtel, who also goes by Fred Matthew Wachtel, Frederic Matthew Wachtel, Fred Wachtel, is a registered financial advisor currently at PROSPERITAS FINANCIAL, LLC located in Valencia, California.

Frederic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Frederic has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred Matthew Wachtel | Frederic Matthew Wachtel | Fred Wachtel

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) FRED WACHTEL INSURANCE AGENT POSITION: Financial Advisor NATURE: Insurance and annuity sales INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 09/28/2020 ADDRESS: 25060 Ave Stanford Suite 100, Valencia CA 91355, United States DESCRIPTION: Provide financial advice to clients 2) INFINITY WEALTH MANAGEMENT, LLC POSITION: Registered Representative/Investment Advisor NATURE: Doing Business As ("DBA") INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 07/17/2020 ADDRESS: 23734 VALENCIA BLVD, SUITE 301, Valencia CA 91355, United States DESCRIPTION: Registered Representative/Investment Advisor 3) PROSPERITAS FINANCIAL POSITION: Financial Advisor NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 09/28/2020 ADDRESS: 25060 Ave Stanford Suite 100, Valencia CA 91355, United States DESCRIPTION: Providing financial advice to clients. 4) PROSPERITAS FINANCIAL, LLC.: INVESTMENT ADVISOR REPRENTATIVE NATURE: Independent Registered Investment Adviser I-RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 08/30/2021 ADDRESS: 25060 AVENUE STANFORD, SUITE 100, VALENCIA, CA 91355, United States DESCRIPTION: Advisory services as an Investment Advisory Representative through Prosperitas Financial, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederic Matthew Wachtel'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

August 30, 2021 - Present

PROSPERITAS FINANCIAL, LLC

Office #1: 25060 Avenue Stanford Suite 100, Valencia, CA 91355

RIA

CRD#: 7556

VALENCIA, CA

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".

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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
(8/30/2021)

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: 9/1/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/20/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/3/2005

General Securities Representative Examination

Current Firm

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

25060 Avenue Stanford Suite 100, Valencia, CA 91355

Mailing Address

Phone number

(661) 255-9555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (6/2/2025)

Regulatory assets under management

Total Number of Accounts	3,933
AUM (Assets Under Management)	$ 612,704,601

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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Advisor Monitoring

Firm Stability Insights

Frederic M. Wachtel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederic Matthew Wachtel's CRS (Customer Relationship Summary).

Certified licenses

Experience

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MORGAN STANLEY

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MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PROSPERITAS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2005

SIE

Date: 10/1/2018

Series 31

Date: 9/20/2005

Series 7

Date: 8/3/2005

Current Firm

PROSPERITAS FINANCIAL, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITAS FINANCIAL, LLC

TRUST BUT VERIFY

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