Sarah F. Soria
PROSPERITY CAPITAL ADVISORS | Financial Advisor at Encompass Financial Planning
Grass Valley, CA 95945
CRD#: 5380942
Professional summary
Sarah Flanders Soria, CFP®, who also goes by Sarah Nicole Flanders, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Grass Valley, California.
Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Sarah has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Biography
We serve our local community and community abroad through holistic, client-centered financial planning.
Question & Answer
What are your service offerings?
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Sarah Nicole Flanders
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) Mrs. Soria is a licensed insurance agent operating under the d.b.a. Encompass Financial and Insurance Services. In this capacity, she 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, she may receive other compensation such as fixed life trails. Mrs. Soria spends approx. 10 hrs/week during trading hours on this activity. 2) Sarah Soria works with the Grass Valley, CA chapter of the American Financial Education Alliance (AFEA). Sarah conducts several seminars per month to help eliminate financial illiteracy as part of her marketing efforts. There are no product sales or company names mentioned at these seminars. Mrs. Soria spends approximately four hours per month on this activity during non-trading hours. 3) Mrs. Soria is a board member for the Gold Country Stampede La Crosse club. Mrs. Soria helps with registrations and marketing. She spends approximately five to ten hours per month on this activity during non-securities hours and approximately one hour per month during securities trading hours. This is a non investment related activity. 4) Mrs. Soria is the creator of Women's Wealth Collective. Mrs. Soria uses Women's Wealth Collective as a marketing name (d.b.a.) when conducting seminars geared toward women investors. Mrs. Soria conducts several seminars per month under Women's Wealth Collective as part of her advisory marketing efforts. 5) Mrs. Soria is the Co-Owner of Encompass Financial Planning which is the operating entity for Ms. Soria's advisory and insurance business. Ms. Soria spends approximately forty hours per week during trading hours working under this entity.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Flanders Soria'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®
CFP®
Start date: 2019
Experience
Current
June 30, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 900 East Main Street #203, Grass Valley, CA 95945RIA
CRD#: 156480
Grass Valley, CA
Past
February 17, 2021 - July 5, 2023
HORACE MANN INVESTORS, INC.
RIA
CRD#: 11643
Grass Valley, CA
Past
December 8, 2015 - July 5, 2023
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
Grass Valley, 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".
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
California(6/30/2023)
IAR
Utah(1/31/2024)
Exams
State Security Law 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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Company Information
PROSPERITY CAPITAL ADVISORS
Financial Advisor at Encompass Financial PlanningCRD#: 156480Grass Valley, CA 95945TRUST BUT VERIFY
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Contact information
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