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AA

Andrew J. Agosta

PROSPERITY FINANCIAL GROUP
SAN RAMON, CA 94583
Some features on this profile are disabled
CRD#: 5013957
AA

Professional summary

Andrew Joseph Agosta, CFP®, who also goes by Andrew J Agosta, Andrew Agosta, is a registered financial advisor currently at PROSPERITY FINANCIAL GROUP, INC. located in San Ramon, California and FORTUNE FINANCIAL SERVICES, INC. located in San Ramon, California.

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

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew J Agosta | Andrew Agosta

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Joseph Agosta'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

Experience

Current

December 1, 2025 - Present

PROSPERITY FINANCIAL GROUP, INC.

Office #1: 2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
RIA
CRD#: 339321
SAN RAMON, CA
Current

December 2, 2025 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 2333 San Ramon Valley Blvd Suite 200, San Ramon, CA 94583
BD
CRD#: 42150
San Ramon, CA
Past

October 3, 2025 - December 24, 2025

PROSPERITY FINANCIAL GROUP, INC.

RIA
CRD#: 145540
SAN RAMON, CA
Past

October 1, 2014 - October 14, 2025

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
PLEASANT HILL, CA
Past

October 1, 2014 - October 14, 2025

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

March 4, 2010 - September 29, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WALNUT CREEK, CA
Past

April 1, 2009 - September 29, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WALNUT CREEK, CA
Past

October 7, 2005 - January 27, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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".
PF
PROSPERITY FINANCIAL GROUP, INC.
PROSPERITY FINANCIAL GROUP, INC.

CRD#: 339321 / SEC#: 801-134846

RIA
Registered Investment Advisory firm - (12/1/2025 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.
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

IAR
California
(12/1/2025)
RR
California
(12/2/2025)
IAR
Texas
(12/1/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/25/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/6/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PROSPERITY FINANCIAL GROUP, INC.
PROSPERITY FINANCIAL GROUP, INC.

CRD#: 339321 / SEC#: 801-134846

RIA
Registered Investment Advisory firm - (12/1/2025 Approved)
PREMIUM
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Contact information

Main Address
2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
Mailing Address
Phone number
(925) 314-8500
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PROSPERITY FINANCIAL GROUP, INC. ADV PART 2A DISCLOSURE BROCHURE (10/28/2025)

Regulatory assets under management

Total Number of Accounts1,202
AUM (Assets Under Management)$ 358,866,365

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.

Company Information

PROSPERITY FINANCIAL GROUP, INC.

CRD#: 339321San Ramon, CA 94583

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