Broker Check

Our Partners

The Teams that Support Prosperity Financial Planning


Cetera Advisors

• One of the premier broker-dealers in the industry

• Responsible for executing trades on your behalf

Your Prosperity Financial Planning Team

Lori Ulm, President, Financial Advisor

Deborah Lopes, Client Relationship Manager


Pershing and Cetera Investment Services

• Serve as custodians to Cetera Advisors to hold and safeguard your assets

• Provide related administrative services on your behalf


Cetera Advisors
Cetera Advisors LLC is one of the premier broker-dealers in the industry. As a broker-dealer, they are responsible for executing trades on a client's behalf. Like all broker-dealers, Cetera Advisors must undergo regular auditing and are also required to meet specific net capital requirements to ensure they can meet their obligations.


Pershing and Cetera Investment Services
Pershing LLC custodies brokerage account and fulfills a legal responsibility for safeguarding assets. Pershing is a subsidiary of the Bank of New York Mellon Corporation, which is the nation's oldest continuously operating bank and one of the world's leading providers of securities services.

 
 

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