PROSPERITY FINANCIAL GROUP, INC.
CRD #339321 SEC #801-134846 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
- Nov 20, 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 | E | Control |
| KALLEN, ELLIOT, HERBERT | I | PRESIDENT | E | Control |
| HEBERT, JAMES, DEREK | I | PRESIDENT | D | Control |
| HEBERT, JAMES, DEREK | I | PRESIDENT | D | Control |
| HEBERT, JAMES, DEREK | I | PRESIDENT | D | Control |
| HEBERT, JAMES, DEREK | I | PRESIDENT | 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 |
| 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 |
Registrations
Federal
IA
Nov 20, 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