Alysa V. Enriquez

PROSPERITY - AN EISNERAMPER COMPANY

Pasadena, CA 91101

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CRD#: 6878986

Professional summary

Alysa Vanessa Enriquez, who also goes by Alysa V Enriquez, Alysa Enriquez, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Pasadena, California and DAI SECURITIES, LLC located in Pasadena, California.

Alysa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Alysa has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alysa V Enriquez | Alysa Enriquez

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) Prosperity - an EisnerAmper Company; Investment Related; Minneapolis, MN 55405; Registered Investment Advisor; Senior Client Service Associate; 11/15/2024; 20-40 hours during business hours, 1-5 hours outside of business hours; assist with account opening and client onboarding, and general client servicing.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alysa Vanessa Enriquez'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

November 11, 2024 - Present

PROSPERITY - AN EISNERAMPER COMPANY

Office #1: 225 S. Lake Avenue Suite 1075, Pasadena, CA 91101

RIA

CRD#: 133777

Pasadena, CA

Current

November 19, 2024 - Present

DAI SECURITIES, LLC

Office #1: 225 S Lake Avenue Suite400, Pasadena, CA 91101

CRD#: 36673

PASADENA, CA

Past

October 30, 2023 - August 27, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WOODLANDHILLS, CA

Past

October 30, 2023 - August 27, 2024

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

PASADENA, CA

Past

August 23, 2022 - November 7, 2023

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

PASADENA, CA

Past

August 22, 2022 - November 7, 2023

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

PASADENA, CA

Past

March 19, 2020 - August 24, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Pasadena, CA

Past

November 26, 2019 - August 24, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Pasadena, CA

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".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(11/11/2024)

California
(11/19/2024)

IAR

Minnesota
(11/12/2024)

Minnesota
(11/19/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/19/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/26/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/18/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

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Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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

Alysa V. Enriquez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alysa Vanessa Enriquez's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2020

Series 7TO

Date: 11/26/2019

SIE

Date: 9/18/2019

FINRA

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

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