Joshua J. Prince

PROMUS ADVISORS

Dallas, TX 75225

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CRD#: 5142443

Professional summary

Joshua James Prince, CFP® is a registered financial advisor currently at PROMUS ADVISORS located in Dallas, Texas.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joshua has worked at 4 firms and has passed the Series 63, Series 65 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.

J & K Prince Family Investments LLC; personal investments; 50/50, Member: varied number of hours/per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua James Prince'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

Start date: 2010

Experience

Current

October 1, 2015 - Present

PROMUS ADVISORS

Office #1: 8226 Douglas Avenue Suite 650, Dallas, TX 75225

RIA

CRD#: 157484

Dallas, TX

Past

February 20, 2008 - September 25, 2014

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

DALLAS, TX

Past

November 15, 2007 - September 25, 2014

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

DALLAS, TX

Past

May 22, 2007 - September 27, 2007

FCA CORP

RIA

CRD#: 110658

HOUSTON, TX

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".

PROMUS ADVISORS

PROMUS ADVISORS | PROMUS ASSET MANAGEMENT, LLC

CRD#: 157484 / SEC#: 801-80941

RIA

Registered Investment Advisory firm - (2/5/2015 Approved)

Texas

Registered Investment Advisory firm - (2/5/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(10/1/2015)

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

Series 63

Date: 11/30/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/21/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/19/2008

General Securities Representative Examination

Current Firm

PROMUS ADVISORS

PROMUS ADVISORS | PROMUS ASSET MANAGEMENT, LLC

CRD#: 157484 / SEC#: 801-80941

RIA

Registered Investment Advisory firm - (2/5/2015 Approved)

Texas

Registered Investment Advisory firm - (2/5/2015 Terminated)

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Contact information

Main Address

8226 Douglas Avenue Suite 650, Dallas, TX 75225

Mailing Address

Phone number

(214) 612-5750

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROMUSADVISORS_2ADISCLOSURE_03202025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	271
AUM (Assets Under Management)	$ 415,008,379

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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Joshua J. Prince

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua James Prince's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROMUS ADVISORS

SANFORD C. BERNSTEIN & CO., LLC

ALLIANCEBERNSTEIN L.P.

FCA CORP

Primary Firm SEC Registration

PROMUS ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/2007

Series 65

Date: 5/21/2007

Series 7

Date: 2/19/2008

Current Firm

PROMUS ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROMUS ADVISORS

TRUST BUT VERIFY

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