GS
Grant E. Shulman
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 7809775
GS
Professional summary
Grant Edward Shulman is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Red Bank, New Jersey.
Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Grant has worked at 2 firms and has passed the Series 66, Series 7TO 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) Middletown Sports Complex; 214 Harmony Rd, Middletown Township NJ 07748; Independent contractor; Not investment related; Independent Marketer; Duties are to sell advertising space on the ice rink boards; 3/15/2024; 12 hours per month; 0 hours per month during trading hours. 2) Mr. Shulman is a registered representative of M Holdings Securities, Inc., a registered broker-dealer and member of FINRA conducting business at his registered location. In such capacity, Mr. Shulman sells securities through M Holdings Securities, Inc. and receives normal and customary commissions and other types of compensation, for example, mutual fund 12b-1 fees or variable annuity trails. Mr. Shulman spends approximately 10 hours per week on this activity during trading hours. 3) Mr. Shulman is a licensed insurance agent and may solicit fixed insurance products including but not limited to life insurance, annuities, disability insurance, long term care insurance and Medicare supplements. Mr. Shulman receives normal and customary commissions as a result of any insurance product purchases made by clients. In addition, Mr. Shulman may receive other compensation such as fixed life trails, bonus payments and/or award trips. The potential for receipt of commissions and other types of compensation when Mr. Shulman acts as an insurance agent gives Mr. Shulman an incentive to recommend insurance products based on the compensation received, rather than the client's needs. As part of his fiduciary duties, Grant Shulman endeavors at all times to put the interests of all clients first and foremost. Clients are under no obligation to purchase fixed insurance products through Mr. Shulman.
CRS (Client Relationship Summary) - RIA
Click below to view Grant Edward Shulman'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
April 10, 2024 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Rd. Bldg. 1, Suite 107, Red Bank, NJ 07701RIA
CRD#: 156480
Red Bank, NJ
Current
February 5, 2024 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 331 Newman Springs Road, Bldg 1, Suite 107, Red Bank, NJ 07701RIA
BD
CRD#: 43285
Red Bank, NJ
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.RR
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
RR
Colorado(3/27/2025)
RR
Florida(8/6/2024)
RR
Illinois(6/11/2025)
RR
Massachusetts(7/17/2025)
RR
Mississippi(9/11/2024)
RR
New Jersey(4/8/2024)
IAR
New Jersey(4/10/2024)
IAR
New York(4/10/2024)
RR
New York(5/19/2025)
RR
North Carolina(8/9/2024)
RR
Pennsylvania(8/6/2024)
RR
South Carolina(8/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/5/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
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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