Erica G. Zaragoza

PROSPERITAS FINANCIAL

Irvine, CA 92612

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CRD#: 7007518

Professional summary

Erica Guadalupe Zaragoza, who also goes by Erica Zaragorza, is a registered financial advisor currently at PROSPERITAS FINANCIAL, LLC located in Irvine, California.

Erica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Erica has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erica Zaragorza

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.

Insurance Broker; Investment Related; 685 Town Ctr Dr, Costa Mesa, CA; Insurance; Start 01/2019; 20hrs/month; none during trading hours; Insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erica Guadalupe Zaragoza'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

May 12, 2025 - Present

PROSPERITAS FINANCIAL, LLC

Office #1: 18100 Van Karman Avenue, Irvine, CA 92612

RIA

CRD#: 315768

Irvine, CA

Past

November 13, 2018 - May 12, 2025

GWN SECURITIES INC.

RIA

CRD#: 128929

REDONDO BEACH, CA

Past

October 9, 2018 - May 12, 2025

GWN SECURITIES INC.

CRD#: 128929

REDONDO BEACH, 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".

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 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

California
(5/12/2025)

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 66

Date: 11/9/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2018

General Securities Representative Examination

Current Firm

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

25060 Avenue Stanford Suite 100, Valencia, CA 91355

Mailing Address

Phone number

(661) 255-9555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (6/2/2025)

Regulatory assets under management

Total Number of Accounts	3,933
AUM (Assets Under Management)	$ 612,704,601

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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Erica G. Zaragoza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erica Guadalupe Zaragoza's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERITAS FINANCIAL, LLC

GWN SECURITIES INC.

GWN SECURITIES INC.

Primary Firm SEC Registration

PROSPERITAS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2018

SIE

Date: 10/10/2018

Series 7

Date: 10/9/2018

Current Firm

PROSPERITAS FINANCIAL, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITAS FINANCIAL, LLC

TRUST BUT VERIFY

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