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475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-07-26 |
Branch Locations
27225 Camp Plenty Rd. Suite 5, Santa Clarita, CA 91351 • United States
475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prestige Financial Advisors | Acton | CA | 05/2016 | 10/2025 |
| Virtue Capital Management, Llc | Nashville | TN | 01/2016 | 07/2019 |
| Simplicity Wealth, Llc | Summit | NJ | 07/2019 | Present |
| The Document People | Santa Clarita | CA | 09/2017 | Present |
| U.S. Veterans Administration | Santa Clarita | CA | 01/2010 | Present |
| Self-Employed | Acton | CA | 08/1997 | Present |
| Prosperity & Legacy Wealth Management | Santa Clarita | CA | 09/2025 | Present |
1) Prosperity & Legacy Wealth Management; Investment-related; 27225 Camp Plenty Rd., Suite 5, Santa Clarita, CA 91351; Insurance services; Owner/Agent; 09/2025; Approx. 100 hours/month; Approx 100 hours/month during trading hours; Insurance sales - life, annuity, health, P&C, home, auto. 2) Jeff McCarty; Investment-related; 27225 Camp Plenty Rd, Suite 5, Santa Clarita, CA 91351; Insurance services; Licensed Insurance Agent; 08/1997; Approx. 100 hours/month as Owner/Agent at Prestige Financial Advisors; Approx. 100 hours/month during trading hours as Owner/Agent at Prestige Financial; Insurance sales - life, annuity, health, P&C, home, auto. 3) Jeff McCarty on behalf of the Veterans Administration; Not investment-related; 27225 Camp Plenty Rd, Suite 5, Santa Clarita, CA 91351; Compensation and pension claims; Accredited Claims Agent with the Veterans Administration; 08/1997; Approx. 100 hours/month as Owner/Agent at Prestige Financial Advisors; Approx. 100 hours/month during trading hours as Owner/Agent at Prestige Financial; Assist veterans with filing compensation and pension claims. 4) The Document People SCV; Not investment-related; 27225 Camp Plenty Rd., Suite 5, Santa Clarita, CA 91390; Legal Document Preparation; Legal Document Assistant; 09/2017; Approx. 25 hours/month; Approx. 15 hours/month during trading hours; Legal document preparation, notarize documents, facilitate filings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-17 |
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