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CFP · ChFC
GS
CFP · ChFC

Gregory Shulman

Prosperity Capital Advisors
33 Years of Experience
Red Bank, NJ
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Gregory Shulman is a CFP, ChFC-designated registered investment advisor at Prosperity Capital Advisors, based in Red Bank, NJ, with 33 years of industry experience. Gregory is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 7,548 clients with $4.4B in assets under management.

Prosperity Capital Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
101 advisors
Number of Clients
7,548 clients
Average Client Portfolio
$581K average
Assets Under Management
$4.4B

Fee Structure

Minimum Investment:$1K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$150
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K0.50%
$500K - $1.0M0.40%
$1.0M - $2.0M0.30%
$2.0M - $5.0M0.25%
$5M+0.20%

Fees are negotiable. Total annual fees for retail clients typically range between 0.20% and 2.0% when including advisor fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

331 Newman Springs Road, Suite 107, Red Bank, NJ, 07701

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gregory is involved in several outside business activities, including working as an agent for Hub International and Madison Brokerage, and as a Managing Director for OneTeam Financial, LLC (taking nearly full-time). He also acts as a financial advisor for Clarity 2 Prosperity, Resources Investment Advisors, LLC, PCA-Prosperity Capital Advisors, and Digital Insurance, LLC, and serves as a non-profit board member for Manasquan Presbyterian Church.

Employment History
Current Registrations
Prosperity Capital Advisors
November 2023 - Present · 2 yrs 11 mos
M Holdings Securities, INC.Broker
June 2012 - Present · 14 yrs 4 mos
Previous Registrations
M Holdings Securities, INC.
June 2012 - March 2024 · 11 yrs 9 mos
Kb Financial Partners, LLC
June 2012 - March 2017 · 4 yrs 9 mos
Kingsbridge Advisors, LLC
October 2004 - June 2013 · 8 yrs 8 mos
AXA Advisors, LLC
July 2002 - June 2012 · 9 yrs 11 mos
Ing Financial Advisers, LLCBroker
July 2001 - October 2002 · 1 yr 3 mos
AXA Advisors, LLCBroker
May 1993 - June 2012 · 19 yrs 1 mo
The Equitable Life Assurance Society of the United StatesBroker
May 1993 - January 2000 · 6 yrs 8 mos
State Registrations22 states
COCTDEFLILINMAMDMIMSNCNJNYOHOKPASCSDUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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