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Marcus E. Mann
PROSPERITY PLANNING AND ADVISORY
Lancaster, CA
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CRD#: 8074764
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Marcus Eliott MannPROSPERITY PLANNING AND ADVISORY
Professional summary
Marcus Eliott Mann is a registered financial advisor currently at PROSPERITY PLANNING AND ADVISORY, LLC located in Lancaster, California.
Marcus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Marcus has worked at 1 firm and has passed the Series 63, Series 65 and SIE exams.
At a Glance
Always Fiduciary
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.
Business Name: Prosperity Planning and Advisory, LLC Is this activity investment-related?: Yes Title/Relationship: Non-Managing Member / Chief Compliance Officer / Financial Advisor / Investment Adviser Representative Start Date: 01/01/2025 (or actual LLC formation date) Approximate number of hours per month devoted to the activity: 130 Number of hours devoted to the activity during securities trading hours: 100 Brief Description: Mr. Mann is a non-managing member with a 90% ownership interest in Prosperity Planning and Advisory, LLC, a California state-registered investment adviser. He serves as the firm's Chief Compliance Officer and investment adviser representative and provides investment advisory and financial consulting services to clients. While he holds a majority ownership interest, he does not serve as a managing member and has no governance authority; all management responsibilities are assigned to the firm's designated Manager, Sheika Holland. Mr. Mann devotes approximately 130 hours per month to this role, with roughly 100 of those hours occurring during standard securities trading hours (6:30 AM - 1:00 PM Pacific Time). Business Name: Personal Investment/Trading Accounts (Self-directed) Is this activity investment-related?: Yes Title/Relationship: Self-Directed Investor / Day Trader Start Date: 03/01/2009 Approximate number of hours per month devoted to the activity: 25 Number of hours devoted to the activity during securities trading hours: 25 Brief Description: Mr. Mann actively manages his own personal investment accounts, engaging in short-term trading of stocks and futures. This activity is conducted independently for his own financial purposes and does not involve managing money for others, offering trading advice, or receiving outside compensation. He spends approximately 25 hours per month on this activity, typically during securities trading hours. The firm has policies in place to ensure this personal trading does not conflict with client interests or interfere with Mr. Mann's responsibilities as Chief Compliance Officer and investment adviser representative of Prosperity Planning and Advisory, LLC. Business Name: Self - Marcus Mann Is this activity investment-related?: Yes Title/Relationship: Insurance Agent (Self-Employed) Start Date: 09/22/2025 Approximate number of hours per month devoted to the activity: 5-8 Number of hours devoted to the activity during securities trading hours: 0 Brief Description: Mr. Mann is licensed in California as an insurance agent to sell life insurance and fixed annuity products. He devotes approximately 5-8 hours per month to this activity, all outside of securities trading hours. Compensation is commission-based. This activity is conducted independently of Prosperity Planning and Advisory, LLC. Clients are under no obligation to purchase insurance products, and all potential conflicts of interest are fully disclosed.
CRS (Client Relationship Summary) - RIA
Click below to view Marcus Eliott Mann'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 27, 2025 - Present
PROSPERITY PLANNING AND ADVISORY, LLC
RIA
CRD#: 336302
Lancaster, CA
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(6/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
PP
PROSPERITY PLANNING AND ADVISORY, LLC
PROSPERITY PLANNING AND ADVISORY, LLC
CRD#: 336302 / SEC#:
California
Registered Investment Advisory firm - (6/27/2025 Approved)Loading...
Contact information
Main Address
Lancaster, CA
Mailing Address
4083 West Avenue L #105, Lancaster, CA 93536
Phone number
(661) 466-9785
Established
Firm type
Fiscal year end
# of Employees
1
0
Red Flags
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