William C. Guthrie
PROSPERITY CAPITAL ADVISORS
Palm Coast, FL 32137
Some features on this profile are disabled
CRD#: 6346818
Professional summary
William C Guthrie, CFP®, who also goes by William C Guthrie IV, William Clifford Guthrie, William Clifford Guthrie Iv, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Palm Coast, Florida.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. William has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William C Guthrie Iv | William Clifford Guthrie | William Clifford Guthrie Iv
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) Mr. Guthrie is a licensed insurance agent. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Guthrie spends approx. 10 hrs/week during trading hours on this activity. 2) Mr. Guthrie is a member of the American Financial Education Alliance (AFEA) of Concord, NC. Mr. Guthrie conducts seminars to help eliminate financial illiteracy as part of his marketing efforts. There are no product sales or company names mentioned at these seminars and no compensation from AFEA is received. Mr. Guthrie spends approximately 5 hours per month on this activity, none during security trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view William C Guthrie'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®
CFP®
Start date: 2018
Experience
Current
July 21, 2022 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 50 Leanni Way, Suite B2, Palm Coast, FL 32137Office #2: 431 E. Horatio Ave., Suite 110, Maitland, FL 32751Office #3: 4651 Salisbury Road, #400 Regus Suite 413, Jacksonville, FL 32256RIA
CRD#: 156480
Palm Coast, FL
Past
June 3, 2022 - January 13, 2023
PETROS ADVISORY SERVICES, LLC
RIA
CRD#: 284903
JACKSONVILLE, FL
Past
March 2, 2021 - May 5, 2022
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Neptune Beach, FL
Past
March 1, 2021 - May 5, 2022
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Neptune Beach, FL
Past
August 22, 2014 - February 25, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JACKSONVILLE, FL
Past
July 14, 2014 - February 25, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JACKSONVILLE, FL
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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | 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
Florida(7/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
