Clinton S. Pelfrey

PROSPERITY CAPITAL ADVISORS

Avon, OH

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CRD#: 5975011

Professional summary

Clinton Shane Pelfrey, AIF®, who also goes by Clint Shane Pelfrey, Clint Pelfrey, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Avon, Ohio.

Clinton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Clinton has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clint Shane Pelfrey | Clint Pelfrey

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) IT CONSULTANT FOR BONEFISH SYSTEMS LLC; NON-INVESTMENT RELATED ACTIVITY; LIMITED HOURS WITH COMPENSATION DEPENDENT ON SPECIFIC ENGAGEMENTS. 2) ERIE SHORELINE CONTRACTORS, LLC D/B/A SHORELINE CONTRACTORS, INC 4045 STONEY RIDGE RD, AVON OH 44011. NOT INVESMTENT RELATED. MARINE CONSTRUCTION COMPANY. 1-2 HOURS PER MONTH OUTSIDE OF BUSINESS HOURS. MINORITY OWNER/TREASURER. OFFICER/DIRECTOR - YES 3) Head Coach for the Avon High School JV baseball team. Non-investment related. Approximately 30 hours per month during non-trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clinton Shane Pelfrey'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 11, 2012 - Present

PROSPERITY CAPITAL ADVISORS

RIA

CRD#: 156480

Avon, OH

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".

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

Ohio
(9/11/2012)

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 65

Date: 8/31/2012

Uniform Investment Adviser Law Examination

Current Firm

PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA

Registered Investment Advisory firm - (3/22/2011 Approved)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,823
AUM (Assets Under Management)	$ 3,684,966,200

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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Clinton S. Pelfrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clinton Shane Pelfrey's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERITY CAPITAL ADVISORS

Primary Firm SEC Registration

PROSPERITY CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2012

Current Firm

PROSPERITY CAPITAL ADVISORS

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY CAPITAL ADVISORS

TRUST BUT VERIFY

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