KH
Keith U. Heritage
PROSPERITY CAPITAL ADVISORS
Newberry, FL 32669
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CRD#: 5231172
KH
Professional summary
Keith U Heritage, ChFC®, CLU®, who also goes by Keith Heritage, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Newberry, Florida.
Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Keith has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith Heritage
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) Mr. Heritage is a licensed insurance agent conducting business from his registered location. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Heritage spends approx. 10 hrs/week during trading hours on this activity. (2) Keith Heritage is the Owner of Heritage Financial, LLC which is the operating entity for Mr. Heritage's advisory and insurance business. Mr. Heritage spends approximately forty hours per week during trading hours working under this entity. (3) Keith is the Owner of Heritage Horse and Cattle LLC which is a horse and cattle farm. Keith spends 100 hours per month during trading hours and 25 hours per month during non-trading hours on this activity. This is not an investment related activity. (4) Keith is the Owner of Heritage Tax Advisors LLC which is a tax preparation business. Keith spends 10 hours per month during trading hours and one hour per month during non-trading hours on this activity. This is not an investment related activity.
CRS (Client Relationship Summary) - RIA
Click below to view Keith U Heritage'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®
Experience
Current
September 27, 2021 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 25125 W. Newberry Rd., Newberry, FL 32669RIA
CRD#: 156480
Newberry, FL
Past
November 16, 2016 - September 30, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NEWBERRY, FL
Past
November 11, 2016 - September 30, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEWBERRY, FL
Past
April 17, 2015 - November 14, 2016
GRADIENT SECURITIES, LLC
RIA
CRD#: 127701
OCALA, FL
Past
June 20, 2012 - April 14, 2015
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
OCALA, FL
Past
May 9, 2012 - November 14, 2016
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
OCALA, FL
Past
March 1, 2011 - May 8, 2012
BROOKSTONE SECURITIES, INC.
RIA
CRD#: 13366
OCALA, FL
Past
October 2, 2009 - May 8, 2012
BROOKSTONE SECURITIES, INC.
BD
CRD#: 13366
OCALA, FL
Past
February 5, 2007 - November 3, 2009
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
OCALA, FL
Past
November 28, 2006 - February 10, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 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
Connecticut(8/17/2022)
IAR
Florida(10/4/2021)
IAR
Georgia(9/28/2021)
IAR
Louisiana(10/31/2023)
IAR
Mississippi(10/31/2023)
IAR
Pennsylvania(9/28/2021)
IAR
Texas(9/27/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Newberry, FL 32669TRUST BUT VERIFY
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