Heather M. Brockhurst

PROSPERITAS FINANCIAL

Las Vegas, NV 89113

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CRD#: 6260674

Professional summary

Heather Mary Brockhurst, who also goes by Heather Brockhurst, is a registered financial advisor currently at PROSPERITAS FINANCIAL, LLC located in Las Vegas, Nevada.

Heather is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Heather has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heather Brockhurst

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.

NAME: HEATHER BROCKHURST INV REL: Y ADD: 1980 FESTIVAL PLAZA DR # 670 LAS VEGAS NV 89135 NATURE: SELLING LIFE, DI,LTC, FIXED ANNUITY AND HEALTH INSURANCE POSITION: AGENT START DATE: 8/16/2021 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1 DUTIES: SELLING LIFE AND HEALTH INSURANCE BASED ON CLIENT NEEDS AND DESIRES OF BOTH INDIVIDUAL LIFE/HEALTH AND GROUP LIFE/HEALTH (2) NAME: HEATHER BROCKHURST LLC INV REL: Y ADD: RESIDENTIAL NATURE: REAL ESTATE POSITION: REAL ESTATE AGENT START DATE: 3/1/2006 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1 DUTIES: REPRESENT BUYERS/SELLERS IN REAL ESTATE TRANSACTIONS (3) I.I.S., LLC; Investment Related; 381 Rancho La Costa St., Las Vegas, NV; Managing Member; Start 10/2023; 15 hrs/month; none during securities trading hours; selling health insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Mary Brockhurst'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

September 6, 2023 - Present

PROSPERITAS FINANCIAL, LLC

Office #1: 8400 W. Sunset Road, Suite #300, Las Vegas, NV 89113

RIA

CRD#: 19616

PHILADELPHIA, PA

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".

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 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

Nevada
(9/6/2023)

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: 3/17/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2014

General Securities Representative Examination

Current Firm

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

25060 Avenue Stanford Suite 100, Valencia, CA 91355

Mailing Address

Phone number

(661) 255-9555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (6/2/2025)

Regulatory assets under management

Total Number of Accounts	3,933
AUM (Assets Under Management)	$ 612,704,601

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

Heather M. Brockhurst

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Mary Brockhurst's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

PROSPERITAS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2014

Series 7TO

Date: 1/2/2023

SIE

Date: 8/8/2017

Series 7

Date: 1/6/2014

Current Firm

PROSPERITAS FINANCIAL, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITAS FINANCIAL, LLC

TRUST BUT VERIFY

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