PROSPERITY FINANCIAL GROUP, INC.

PROSPERITY FINANCIAL GROUP, INC. of SAN RAMON, CA is an SEC-registered investment adviser (CRD 145540). Regulatory assets under management: $358.9M.

Registration

Officers, owners & control persons (6)

NameRoleLocation
James Derek HebertPRESIDENT—
Andrew Joseph AgostaCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, VICE PRESIDENT—
Elliot Herbert KallenPRESIDENT & CHIEF COMPLIANCE OFFICER—
BALLWEG CHARLES ACHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER—
KALLEN ELLIOT HERBERTPRESIDENT & CHIEF COMPLIANCE OFFICER; SHAREHOLDER/PRESIDENT—
BALLWEG CHARLES ANTHONYCHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER; NON-VOTING MINORITY PARTNER; PARTNER—

Disclosures (2)

InitiatedTypeAllegationsStatusAmount
2022-09-01civilIMPROPER SALES PRACTICES REGARDING LIFE INSURANCE POLICY.Pending—
2022-09-01civilIMPROPER SALES PRACTICES REGARDING LIFE INSURANCE POLICY.Final—

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