John Cervantes
John Cervantes is a registered investment advisor at Prospera Financial Services, INC., based in Matthews, NC, with 26 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.15% |
Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.
Fee Estimator
Location
10590 Independence Pointe Pkwy, Suite 300, Matthews, NC, 28105
Get directionsHistory
Regulatory History (2)
Customer Dispute
July 2021Employment Separation After Allegations
April 2002Other Business Activities
John is a board member at Pine Lake Country Club since February 2024. This requires a few hours per week.
Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Tca Financial Group,llc
Tca Financial Group, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
UBS Painewebber INC.
UBS Painewebber INC.Broker
State Registrations24 states
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
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