Prabhu V. Mogulla

PEACEFUL ADVISORS LLC

TUSTIN, CA 92782

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CRD#: 5851980

Professional summary

Prabhu Veer Mogulla, who also goes by Prabhu Mogulla, is a registered financial advisor currently at PEACEFUL ADVISORS LLC located in Tustin, California.

Prabhu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Prabhu has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Prabhu Mogulla

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.

a. the name of the other business; Profcon, Inc. b. whether the business is investment-related; No c. the address of the other business; 17291 Irvine Blvd Suite 260 Tustin, CA 92780 d. the nature of the other business; This business provides staffing services to individuals and businesses. e. your position; President f. title, or relationship with the other business; President g. the start date of your relationship; 02/2001 in Colorado and moved in 2004 to California. h. the approximate number of hours/month you devote to the other business;100 hours i. the number of hours you devote to the other business during securities trading hours; 3 hours j. and briefly describe your duties relating to the other business; Recruiting efforts and interaction with clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Prabhu Veer Mogulla'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®

None

Experience

Current

November 3, 2017 - Present

PEACEFUL ADVISORS LLC

Office #1: 17291 Irvine Blvd Suite 260, Tustin, CA 92782

RIA

CRD#: 290238

TUSTIN, CA

Past

April 30, 2014 - October 17, 2016

WADDELL & REED

RIA

CRD#: 866

COSTA MESA, CA

Past

April 1, 2014 - October 17, 2016

WADDELL & REED

CRD#: 866

COSTA MESA, CA

Past

December 19, 2011 - November 26, 2012

WADDELL & REED

RIA

CRD#: 866

COSTA MESA, CA

Past

July 18, 2011 - November 26, 2012

WADDELL & REED

CRD#: 866

COSTA MESA, CA

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
(11/3/2017)

IAR

Texas
(5/2/2018)

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

IAR

Series 66

Date: 12/16/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/17/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/2011

General Securities Representative Examination

Current Firm

PEACEFUL ADVISORS LLC

CRD#: 290238 / SEC#:

California

Registered Investment Advisory firm - (11/3/2017 Approved)

Texas

Registered Investment Advisory firm - (5/1/2018 Conditional Restricted)

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Contact information

Main Address

17291 Irvine Blvd Suite 260, Tustin, CA 92782

Mailing Address

Phone number

(949) 689-5229

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 6,000,000

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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Prabhu V. Mogulla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Prabhu Veer Mogulla's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEACEFUL ADVISORS LLC

WADDELL & REED

WADDELL & REED

WADDELL & REED

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2011

SIE

Date: 10/17/2016

Series 7

Date: 7/15/2011

Current Firm

PEACEFUL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEACEFUL ADVISORS LLC

TRUST BUT VERIFY

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