PROSPERITY FINANCIAL GROUP, INC.
CRD #145540 SEC #801-100511 SAN RAMON, CA 925-314-8500
SEC Registered
Total AUM
$358.9M
Discretionary
$358.9M
Employees
11
Clients
0
Accounts
1,202
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 9, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| BALLWEG, CHARLES, A. | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, A. | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, A. | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, A. | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, A. | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | D | Control |
| HEBERT, JAMES, DEREK | I | PRESIDENT | D | Control |
| HEBERT, JAMES, DEREK | I | PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| KALLEN, ELLIOT, HERBERT | I | SHAREHOLDER/PRESIDENT | D | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| AGOSTA, ANDREW, JOSEPH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, VICE PRESIDENT | C | Control |
| AGOSTA, ANDREW, JOSEPH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, VICE PRESIDENT | C | Control |
| BALLWEG, CHARLES, ANTHONY | I | PARTNER | C | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | C | Control |
| BALLWEG, CHARLES, ANTHONY | I | PARTNER | C | Control |
| BALLWEG, CHARLES, ANTHONY | I | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | C | Control |
| BALLWEG, CHARLES, ANTHONY | I | PARTNER | C | Control |
| BALLWEG, CHARLES, ANTHONY | I | NON-VOTING MINORITY PARTNER | C | |
| BALLWEG, CHARLES, ANTHONY | I | NON-VOTING MINORITY PARTNER | C | |
| BALLWEG, CHARLES, ANTHONY | I | NON-VOTING MINORITY PARTNER | B | |
| BALLWEG, CHARLES, ANTHONY | I | NON-VOTING MINORITY PARTNER | B | |
| BALLWEG, CHARLES, ANTHONY | I | NON-VOTING MINORITY PARTNER | B | |
| BALLWEG, CHARLES, ANTHONY | I | NON-VOTING MINORITY PARTNER | B | |
| BALLWEG, CHARLES, ANTHONY | I | NON-VOTING MINORITY PARTNER | B |
Registrations
Federal
IA
Dec 9, 2025 REGISTERED
Notice Filings (20)
AZ CA CO FL HI ID LA MA NH NJ NM NV NY OR PA SC TN TX WA WI
Address
2333 SAN RAMON VALLEY BLVD.SUITE 200
SAN RAMON, CA 94583
United States
Phone: 925-314-8500