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JG

Jermaine Guthrie

Investment Adviser Representative at PROSPERITY - AN EISNERAMPER COMPANY

New York, NYCRD #4627005Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
3 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
FloridaNew YorkTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/26/2013
Series 63
Uniform Securities Agent State Law Examination
Passed 4/12/2003
Series 24
General Securities Principal Examination
Passed 6/20/2007
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/27/2003

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

PROSPERITY - AN EISNERAMPER COMPANY Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

DAI SECURITIES, LLCCurrent
4/24/2025 – New York, NY
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
9/14/2011 – 11/13/2020NEW YORK, NY
E*TRADE SECURITIES LLC
7/13/2004 – 1/3/2011SCARSDALE, NY
MORGAN STANLEY
5/3/2021 – 6/16/2023Purchase, NY
MAXIM GROUP LLC
3/31/2003 – 3/16/2004NEW YORK, NY

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Jermaine Guthrie has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.