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HM

Howard Martinez

PROSPERITAS FINANCIAL
VALENCIA, CA 91355
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CRD#: 5088792
HM

Professional summary


Howard Martinez is a registered financial advisor currently at PROSPERITAS FINANCIAL, LLC located in Valencia, California.

Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Howard has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

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.
(1) 02/23/2015: Kinecta Financial & Insurance Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 08/12/2016: Colonial Life and Accident - Non-Variable Insurance - Trails Only - Investment Related - No Business Location - Started 01/01/1995 - 1 Hr/Mo; 1 Hour During Securities Trading - Trails Only (3) 7/16/2018 - Kinecta Financial & Insurance Services - DBA: Kinecta Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/01/2018 - 160 Hours Per Month/6 Hours During Securities Trading. (4) 06/29/2022 - My-401k - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2022 - 20 Hours Per Month/ 20 Hours During Securities Trading. (5) 2/14/2023 - Adler Weiner Research - Not Investment Related - One Time Research study - Research participant - Start Date - 01/04/2023 - 2 Hours Per Month/0 Hours During Securities Trading

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view Howard Martinez'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 6, 2024 - Present

PROSPERITAS FINANCIAL, LLC

Office #1: 25060 Avenue Stanford Suite 100, Valencia, CA 91355
RIA
CRD#: 315768
VALENCIA, CA
Past

March 5, 2015 - August 6, 2024

KINECTA FINANCIAL & INSURANCE SERVICES

BD
CRD#: 136597
WOODLAND HILLS, CA
Past

February 24, 2015 - August 15, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
BREA, CA
Past

February 23, 2015 - August 15, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
BREA, CA
Past

June 1, 2009 - February 24, 2015

MORGAN STANLEY

RIA
CRD#: 149777
BREA, CA
Past

June 1, 2009 - February 24, 2015

MORGAN STANLEY

BD
CRD#: 149777
BREA, CA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BREA, CA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BREA, CA
Past

April 26, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BREA, CA
Past

April 5, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BREA, 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".
PF
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
(8/6/2024)

Exams


State Security Law Exam
RR
IAR
Series 66
Date: 4/25/2006
Uniform Combined State Law Examination
General Industry/Product Exam
General Industry/Product Exam
RR
Series 31
Date: 5/11/2006
Futures Managed Funds Examination
General Industry/Product Exam

Current Firm


PF
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
19

SEC notice filing (16 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

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

Regulatory assets under management


Total Number of Accounts3,933
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.

Company Information


PROSPERITAS FINANCIAL, LLC

CRD#: 315768Valencia, CA 91355

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Contact information


(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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