Sabrina Mangual

PROSPERITY - AN EISNERAMPER COMPANY

NEW YORK, NY 10017

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CRD#: 5761157

Professional summary

Sabrina Mangual is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in New York, New York and DAI SECURITIES, LLC located in Iselin, New Jersey.

Sabrina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Sabrina has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. Prosperity - An EisnerAmper Company / yes / 733 3rd Ave. NY NY 10017 / RIA / Relationship Manager / 02-16-2024 / 100% / Manage Client Relationships and review accounts. 2. STL Traders LLC / 2341 Knapp Street Brooklyn NY 11229 / no / Owner / 8-31-2021 / 20% / Order, prep, and ship products. Bookkeeping. 3. Independent insurance agent, 04/2010, 0 hours/month; non-investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sabrina Mangual'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

February 20, 2024 - Present

PROSPERITY - AN EISNERAMPER COMPANY

Office #1: 733 Third Avenue, New York, NY 10017

RIA

CRD#: 133777

NEW YORK, NY

Current

May 3, 2023 - Present

DAI SECURITIES, LLC

Office #1: 111 Wood Avenue South Suite 110, Iselin, NJ 08830

CRD#: 36673

Iselin, NJ

Past

October 3, 2022 - February 22, 2024

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

RIA

CRD#: 121863

New York, NY

Past

September 23, 2022 - May 1, 2023

APW CAPITAL, INC.

CRD#: 43814

ISELIN, NJ

Past

November 15, 2019 - August 25, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

FOREST HILLS, NY

Past

August 4, 2016 - November 25, 2019

GLADSTONE WEALTH PARTNERS

RIA

CRD#: 250787

BEDMINSTER, NJ

Past

July 21, 2016 - August 25, 2022

LPL FINANCIAL LLC

CRD#: 6413

FOREST HILLS, NY

Past

October 1, 2012 - August 4, 2016

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

FOREST HILLS, NY

Past

October 1, 2012 - August 4, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

FOREST HILLS, NY

Past

November 22, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

FOREST HILLS, NY

Past

March 18, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

FOREST HILLS, NY

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".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(5/3/2023)

New York
(5/3/2023)

IAR

New York
(2/20/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/18/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/6/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/17/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

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Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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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Advisor Monitoring

Firm Stability Insights

Sabrina Mangual

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sabrina Mangual's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

APW CAPITAL, INC.

LPL FINANCIAL LLC

GLADSTONE WEALTH PARTNERS

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2011

Series 63

Date: 4/6/2010

SIE

Date: 10/1/2018

Series 7

Date: 10/13/2011

Series 6

Date: 3/17/2010

FINRA

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

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