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

Gwen Derewiany, 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.

 
 

Have A Question?







Thank you! Oops!

Recommended Content

When Markets React

When markets shift, experienced investors stick to their strategy.

Money that Buys Good Health is Never Ill Spent

It's important to make sure your retirement strategy anticipates health-care expenses.

Investments

You’ve made investments your whole life. Work with us to help make the most of them.