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RG

Robert E. Gearing

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CRD#: 873841
RG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Edward Gearing II, who also goes by Robert E Gearing, Robert Edward Gearing, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 14 firms and has passed the Series 66, Series 63, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert E Gearing | Robert Edward Gearing

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 20, 2022 - October 10, 2022

PROSPERITY CAPITAL ADVISORS

RIA
CRD#: 156480
Jacksonville, FL
Past

February 23, 2021 - October 26, 2022

PETROS ADVISORY SERVICES, LLC

RIA
CRD#: 284903
JACKSONVILLE, FL
Past

September 9, 2010 - January 13, 2021

WINNING POINTS ADVISORS, L.L.C.

RIA
CRD#: 118077
BOCA RATON, FL
Past

May 14, 2010 - May 13, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
BOCA RATON, FL
Past

October 29, 2009 - December 2, 2009

KILEY PARTNERS, INC.

BD
CRD#: 37814
PALM BEACH GARDENS, FL
Past

March 31, 1989 - October 13, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

September 25, 1987 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

BD
CRD#: 7291
NORTH PALM BEACH, FL
Past

July 16, 1987 - September 22, 1987

PROFILE INVESTMENTS CORPORATION

BD
CRD#: 16478
Past

September 13, 1984 - July 27, 1987

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

July 14, 1983 - August 31, 1984

BEVILL, BRESLER & SCHULMAN INCORPORATED

BD
CRD#: 6971
Past

June 8, 1982 - July 11, 1983

HANAUER, STERN & COMPANY,INCORPORATED

BD
CRD#: 7077
Past

January 22, 1982 - May 13, 1982

ROBERTS AND BROWN SECURITIES CORPORATION

BD
CRD#: 8131
Past

July 6, 1981 - September 30, 1981

MABON, NUGENT & CO.

BD
CRD#: 2617
Past

November 5, 1980 - June 30, 1981

BRUNS, NORDEMAN, REA & CO.

BD
CRD#: 6589
Past

November 21, 1979 - November 30, 1980

HANAUER, STERN & COMPANY,INCORPORATED

BD
CRD#: 7077

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/25/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/5/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1980
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 11/17/1979
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/2/1998
General Securities Principal Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts14,823
AUM (Assets Under Management)$ 3,684,966,200

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.

Company Information

PROSPERITY CAPITAL ADVISORS

CRD#: 156480

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