JS
Joshua Soria
PROSPERITY CAPITAL ADVISORS
Grass Valley, CA 95945
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CRD#: 7777680
JS
Professional summary
Joshua Soria is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Grass Valley, California.
Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Joshua has worked at 1 firm and has passed the Series 65 and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Soria is a licensed insurance agent using the d.b.a. Encompass Financial and Insurance Services and Sierra Cascade Advisors. 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. Soria spends approx. 10 hrs/week during trading hours on this activity. 2) Mr. Soria works with the Grass Valley, CA chapter of the American Financial Education Alliance (AFEA). Mr. Soria conducts several seminars per month to help eliminate financial illiteracy as part of his marketing efforts. There are no product sales or company names mentioned at these seminars. 3) Mr. Soria is the Owner/Craftsman of Summit Wood Works. Mr. Soria provides on demand woodworking services for a fee. Mr. Soria spends approximately ten hours per month on this activity during non-trading hours. This is not an investment related activity. 4) Mr. Soria is on the board of directors as Secretary for the Soria Wright Foundation which is a charitable organization run by his brother. Mr. Soria does not receive direct compensation for this position though the Foundation may pick up travel related expenses to attend annual meetings. Mr. Soria spend approximately four hours per month on this activity during non-trading hours. This is not an investment related activity. 5) Joshua Soria is the Co-Owner of Encompass Financial Planning which is the operating entity for Mr. Soria's advisory and insurance business. Mr. Soria spends approximately forty hours per week during trading hours working under this entity.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Soria'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
June 30, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 900 East Main Street #203, Grass Valley, CA 95945RIA
CRD#: 156480
Grass Valley, 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".
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
California(6/30/2023)
IAR
Utah(1/31/2024)
Exams
State Security Law 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
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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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