EA
Emily A. Agresta
PROSPERITY CAPITAL ADVISORS
Schererville, IN 46375
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CRD#: 6851609
EA
Professional summary
Emily Ann Agresta, who also goes by Emily A Agresta, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Schererville, Indiana.
Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Emily has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emily A Agresta
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) Ms. Agresta is a licensed insurance agent. In this capacity, she 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, she may receive other compensation such as fixed life trails. Ms. Agresta spends approx. 20 hrs/week during trading hours on this activity. 2) Emily Agresta works with the local chapter of the American Financial Education Alliance (AFEA). Ms. Agresta conducts several seminars per month to help eliminate financial illiteracy as part of her marketing efforts. Ms. Agresta spends approximately 3-5 hours per month during non-trading hours on this activity. There are no product sales or company names mentioned at these seminars.
CRS (Client Relationship Summary) - RIA
Click below to view Emily Ann Agresta'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
October 8, 2021 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 222 Indianapolis Blvd Suite 201, Schererville, IN 46375RIA
CRD#: 156480
Schererville, IN
Past
November 1, 2020 - January 6, 2025
INNOVATION PARTNERS LLC
BD
CRD#: 146344
CHARLOTTE, NC
Past
August 13, 2020 - November 2, 2020
MERCAP SECURITIES, LLC
BD
CRD#: 156607
SCHERERVILLE, IN
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
Illinois(10/8/2021)
IAR
Indiana(10/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/13/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
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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
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Schererville, IN 46375TRUST BUT VERIFY
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