CS
Cory J. Sickles
SAFE HARBOR WEALTH ADVISORS
Dublin, OH 43017
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CRD#: 6319909
CS
Professional summary
Cory Joseph Sickles is a registered financial advisor currently at SAFE HARBOR WEALTH ADVISORS, LLC located in Dublin, Ohio and PROSPERITY ASSET MANAGEMENT, LLC located in Dublin, Ohio.
Cory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Cory has worked at 4 firms and has passed the Series 65 exam.
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.
Safe Harbor Retirement Group, LLC; investment related; Dublin OH, insurance sales; started 02/2012; approximately 50% of time. Safe Harbor Health, LLC; investment related, Dublin, OH; President/Owner; Medicare supplement sales; started 06/2019; approximately 1% of time. Safe Harbor Wealth Advisors, LLC; Investment Related; Dublin, OH; Managing Member/Investment Advisor Representative/CCO; Started 07/2016; Approximately 49% of his time Prosperity Asset Management, LLC; Investment Related; Louisville, KY; Investment Advisor Representative for succession planning purposes; Started 11/2024; 0% of time
CRS (Client Relationship Summary) - RIA
Click below to view Cory Joseph Sickles'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®
NoneExperience
Current
August 1, 2016 - Present
SAFE HARBOR WEALTH ADVISORS, LLC
Office #1: 6099 Frantz Road, Dublin, OH 43017RIA
CRD#: 284613
Dublin, OH
Current
November 7, 2024 - Present
PROSPERITY ASSET MANAGEMENT, LLC
Office #1: 6099 Frantz Road, Dublin, OH 43017RIA
CRD#: 286028
Dublin, OH
Past
April 14, 2020 - April 12, 2024
GRADIENT INVESTMENTS, LLC
RIA
CRD#: 141726
Dublin, OH
Past
April 7, 2014 - September 14, 2016
SAFE HARBOR WEALTH MANAGEMENT, LLC
RIA
CRD#: 156743
DUBLIN, 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".
SH
SAFE HARBOR WEALTH ADVISORS, LLC
SAFE HARBOR WEALTH ADVISORS, LLC
CRD#: 284613 / SEC#: 801-129860
RIA
Registered Investment Advisory firm - (4/9/2024 Approved)Florida
Registered Investment Advisory firm - (4/11/2024 Terminated)North Carolina
Registered Investment Advisory firm - (4/29/2024 Terminated)Ohio
Registered Investment Advisory firm - (4/15/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/11/2024 Terminated)Tennessee
Registered Investment Advisory firm - (4/11/2024 Terminated)Texas
Registered Investment Advisory firm - (4/11/2024 Terminated)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(8/1/2016)
IAR
Texas(8/26/2021)
Current Firm
SH
SAFE HARBOR WEALTH ADVISORS, LLC
SAFE HARBOR WEALTH ADVISORS, LLC
CRD#: 284613 / SEC#: 801-129860
RIA
Registered Investment Advisory firm - (4/9/2024 Approved)Florida
Registered Investment Advisory firm - (4/11/2024 Terminated)North Carolina
Registered Investment Advisory firm - (4/29/2024 Terminated)Ohio
Registered Investment Advisory firm - (4/15/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/11/2024 Terminated)Tennessee
Registered Investment Advisory firm - (4/11/2024 Terminated)Texas
Registered Investment Advisory firm - (4/11/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6099 Frantz Road, Dublin, OH 43017
Mailing Address
Phone number
(614) 760-0670
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,062 |
| AUM (Assets Under Management) | $ 162,679,059 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
