Marcus J. Maurer

PROSPERO WEALTH

Seattle, WA

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CRD#: 5069858

Professional summary

Marcus James Maurer is a registered financial advisor currently at PROSPERO WEALTH, LLC located in Seattle, Washington.

Marcus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Marcus has worked at 2 firms and has passed the Series 65, 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.

A. Marcus Maurer is not actively engaged in any other investment-related businesses or occupations. B. Marcus Maurer is a full time employee of the University of Washington. He has been engaged in this capacity since July 2014. Marcus Maurer devotes approximately 170 hours per month to his University of Washington responsibilities, including 98 hours per month during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus James Maurer'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

April 26, 2018 - Present

PROSPERO WEALTH, LLC

RIA

CRD#: 289966

Seattle, WA

Past

March 13, 2006 - July 29, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

February 20, 2006 - July 29, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SEATTLE, WA

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
(6/25/2018)

IAR

Oregon
(7/29/2024)

IAR

Texas
(7/25/2024)

IAR

Washington
(4/26/2018)

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 65

Date: 10/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/10/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/17/2006

General Securities Representative Examination

Current Firm

PROSPERO WEALTH, LLC

PROSEPRO WEALTH, LLC | PROSPERO WEALTH, LLC

CRD#: 289966 / SEC#: 801-134848

California

Registered Investment Advisory firm - (6/25/2018 Approved)

Oregon

Registered Investment Advisory firm - (7/15/2024 Approved)

Texas

Registered Investment Advisory firm - (8/24/2022 Conditional Restricted)

Washington

Registered Investment Advisory firm - (4/26/2018 Approved)

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Contact information

Main Address

Seattle, WA

Mailing Address

7724 35th Ave Ne #15170, Seattle, WA 98115-9955

Phone number

(971) 716-1991

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERO WEALTH, LLC - ADV PART 2A (10/28/2025)

ADV PART 2B - BROCHURE SUPPLEMENTS (3/11/2025)

Regulatory assets under management

Total Number of Accounts	278
AUM (Assets Under Management)	$ 100,313,592

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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Marcus J. Maurer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus James Maurer's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERO WEALTH, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2017

Series 66

Date: 3/10/2006

Series 7

Date: 2/17/2006

Current Firm

PROSPERO WEALTH, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERO WEALTH, LLC

TRUST BUT VERIFY

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