HM
Howard Martinez
PROSPERITAS FINANCIAL
VALENCIA, CA 91355
Some features on this profile are disabled
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.
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
CRS (Client Relationship Summary) - RIA
Click below to view Howard Martinez's 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®
NoneExperience
Current
August 6, 2024 - Present
PROSPERITAS FINANCIAL, LLC
Office #1: 25060 Avenue Stanford Suite 100, Valencia, CA 91355RIA
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
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
Documents
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.
Company Information
PROSPERITAS FINANCIAL, LLC
CRD#: 315768Valencia, CA 91355TRUST BUT VERIFY
Monitor Howard Martinez
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
