James D. Hebert

PROSPERITY FINANCIAL GROUP

San Ramon, CA 94583

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CRD#: 6469554

Professional summary

James Derek Hebert, who also goes by James Hebert, is a registered financial advisor currently at PROSPERITY FINANCIAL GROUP, INC. located in San Ramon, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Hebert

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Derek Hebert'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

April 30, 2021 - Present

PROSPERITY FINANCIAL GROUP, INC.

Office #1: 2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

RIA

CRD#: 145540

San Ramon, CA

Past

November 13, 2018 - May 3, 2021

INSIGHT WEALTH STRATEGIES, LLC

RIA

CRD#: 293644

SAN RAMON, CA

Past

November 1, 2016 - November 12, 2018

EP WEALTH ADVISORS

RIA

CRD#: 111147

Lafayette, CA

Past

November 16, 2015 - August 1, 2016

BHA SELECT NETWORK, LLC

CRD#: 168883

BOSTON, MA

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 FINANCIAL GROUP, INC.

CRD#: 145540 / SEC#: 801-100511

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (12/19/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(4/30/2021)

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: 11/1/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/6/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2015

General Securities Representative Examination

Current Firm

PROSPERITY FINANCIAL GROUP, INC.

CRD#: 145540 / SEC#: 801-100511

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (12/19/2015 Terminated)

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Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 314-8500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFG - ADV PART 2A: FIRM BROCHURE (10/28/2025)

Regulatory assets under management

Total Number of Accounts	1,202
AUM (Assets Under Management)	$ 358,866,365

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

James D. Hebert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Derek Hebert's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSIGHT WEALTH STRATEGIES, LLC

EP WEALTH ADVISORS

BHA SELECT NETWORK, LLC

Primary Firm SEC Registration

PROSPERITY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2016

Series 63

Date: 6/6/2016

SIE

Date: 8/1/2016

Series 7

Date: 11/16/2015

Current Firm

PROSPERITY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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