Stephen Hinant Hecker | Financial Professional | Centerville, Ohio | PROSPERITY WEALTH MANAGEMENT, INC.

Professional summary

Stephen Hinant Hecker is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in Centerville, Ohio and FORTUNE FINANCIAL SERVICES, INC. located in Denton, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Stephen has worked at 9 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 1 and Series 26 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.

rep is an IAR with Prosperity Wealth Management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Hinant Hecker'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

January 6, 2020 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

Centerville, OH

Current

June 14, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

BD

CRD#: 42150

Denton, TX

Past

June 16, 2016 - June 16, 2016

PROSPERITY FINANCIAL GROUP, INC.

RIA

CRD#: 145540

Centerville, OH

Past

June 16, 2016 - December 31, 2019

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

San Ramon, CA

Past

January 30, 2015 - June 7, 2016

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

September 12, 2014 - June 7, 2016

STONEX SECURITIES INC.

BD

CRD#: 18456

DAYTON, OH

Past

February 20, 2013 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

DAYTON, OH

Past

June 1, 2004 - December 31, 2012

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

DAYTON, OH

Past

June 1, 2004 - September 12, 2014

WRP INVESTMENTS, INC.

BD

CRD#: 7365

DAYTON, OH

Past

January 3, 2000 - June 9, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

DAYTON, OH

Past

June 7, 1993 - June 9, 2004

WS GRIFFITH SECURITIES, INC.

BD

CRD#: 10410

HARTFORD, CT

Past

November 23, 1979 - June 7, 1993

VP DISTRIBUTORS LLC

BD

CRD#: 3036

HARTFORD, CT

Past

May 3, 1976 - June 11, 1980

G. R. PHELPS & CO., INC.

BD

CRD#: 173

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".

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 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.

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

Arizona
(6/14/2016)

RR

California
(6/14/2016)

RR

District of Columbia
(1/8/2020)

RR

Indiana
(2/11/2025)

RR

Maryland
(2/3/2022)

RR

Massachusetts
(6/15/2016)

RR

Missouri
(6/14/2016)

RR

New Jersey
(6/14/2016)

RR

New York
(7/19/2021)

RR

Ohio
(6/14/2016)

IAR

Ohio
(1/6/2020)

RR

South Carolina
(6/20/2016)

RR

Texas
(6/14/2016)

RR

Virginia
(1/9/2023)

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

RR

Series 63

Date: 2/11/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 1

Date: 4/21/1976

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 26

Date: 12/27/1995

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

RR

FINRA

Current Firm

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 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).

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Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 791-4444

Established

Firm type

Fiscal year end

# of Employees

51

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,832
AUM (Assets Under Management)	$ 442,192,443

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

Stephen H. Hecker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Hinant Hecker's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

PROSPERITY FINANCIAL GROUP, INC.

PROSPERITY WEALTH MANAGEMENT, INC.

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

PROSPERITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/2003

Series 6TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 4/21/1976

Series 26

Date: 12/27/1995

FINRA

Current Firm

PROSPERITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT, INC.

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