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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-01-31
  • PA RA
    APPROVED
    Since 2023-01-31

Branch Locations

3401 N. Front St Suite 303, Harrisburg, PA 17110 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Castleview Partners Llc Dallas TX 01/2016 09/2016
Kovack Securities, Inc. Fort Lauderdale FL 02/2016 07/2019
Kovack Advisors, Inc. Fort Lauderdale FL 09/2016 07/2019
Insightadvisors Newtown PA 07/2019 01/2023
Purshe Kaplan Sterling Investments, Inc. Albany NY 07/2019 01/2023
Prospera Financial Services Dallas TX 01/2023 Present
  • 01/2016 → 09/2016
    Dallas, TX
  • 02/2016 → 07/2019
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 09/2016 → 07/2019
    Fort Lauderdale, FL
  • 07/2019 → 01/2023
    Insightadvisors
    Newtown, PA
  • 07/2019 → 01/2023
    Purshe Kaplan Sterling Investments, Inc.
    Albany, NY
  • 01/2023 → Present
    Prospera Financial Services
    Dallas, TX
Previous Registrations
  • 2019-07-31 → 2023-02-10
    Newtown, PA
  • 2016-09-02 → 2019-07-30
    Annville, PA
    Ft. Lauderdale, FL
  • 2016-01-13 → 2016-09-06
    Annville, PA
    Dallas, TX
  • 2008-10-21 → 2015-12-11
    Invest Financial Corporation
    Dillsburg, PA
    Harrisburg, PA
    Hummelstown, PA
    Appleton, WI
    Harrisburg, PA
  • 2007-04-10 → 2008-10-21
    Cetera Wealth Services, Llc
    Hershey, PA
    Dillsburg, PA
  • 2006-12-20 → 2007-01-31
    York, PA
Other Businesses

1) Painted Hill Farms; Investment Related - No; 1775 Blacks Bridge Road, Annville, PA 17003; Leisure hobby of horses; Horse Lover; 10% of monthly time spent; none during market hours; Pleasure riding and general horse care and maintenance. 2) RAMS 88 INC; Investment Related - No; 244 East Main Street, Annville, PA 17003: Holding Company; President/Treasurer; 01/2023; 0 Hours per Month; 0 During Trading Hours; Oversee and direct multiple entity activities. 3) Fetrow Wealth Management; Investment Related - Yes; 3401 N Front Street, Harrisburg, PA 17110;DBA; President; 01/2023; 160 Hours per Month; 130 During Trading Hours; Sales of securities and investment products.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-12-17
S63 Uniform Securities Agent State Law Examination 1999-03-17
  • S65 Uniform Investment Adviser Law Examination
    2002-12-17
  • S63 Uniform Securities Agent State Law Examination
    1999-03-17
Other Names
  • Ralph Fetrow

View on SEC IAPD

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