Erica Zaragoza has been an investment adviser representative at Prosperitas Financial since May 2025, and is not listed among the firm’s executive officers or direct owners.
Prosperitas Financial, LLC is a Valencia, CA firm with $812M under management, 2,138 clients and 23 advisers across 2 offices, as of its September 2026 filing.
Erica Zaragoza’s longest registration was 6 years at GWN Securities Inc. (2018–2025). Before joining Prosperitas Financial in 2025, Erica Zaragoza was registered through GWN Securities Inc.
- Prosperitas Financial, LLCCurrent– present · 1 yearIrvine, CA · Adviser representative · Firm CRD 315768
- GWN Securities Inc.– · 6 yearsRedondo Beach, CA · Adviser representative · Firm CRD 128929
Investment adviser representative registrations
Erica Zaragoza is registered as an investment adviser representative in California, since May 2025.
- CaliforniaSince 12 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 9 November 2018 |
| SIE | Securities Industry Essentials Examination | 10 October 2018 |
| Series 7 | General Securities Representative Examination | 9 October 2018 |
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Full name
- Erica Guadalupe Zaragoza
- CRD
- 7007518
- Firm
- Prosperitas Financial · CRD 315768
- Office
- 18100 Van Karman Avenue, Irvine, CA 92612
- Registration
- Investment adviser registration
- In the industry since
- October 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Erica Zaragoza work?
Erica Zaragoza is an investment adviser representative registered through Prosperitas Financial, LLC since May 2025, and is not listed among the firm’s executive officers or direct owners.
Is Erica Zaragoza a financial advisor?
Yes. Erica Zaragoza has a current investment-adviser registration in California, through Prosperitas Financial since May 2025.
How many years of experience does Erica Zaragoza have?
Erica Zaragoza has 8 years in the financial industry, since October 2018, across 2 adviser firms.
What exams has Erica Zaragoza passed?
Erica Zaragoza has passed 3 licensing exams: the Series 7, SIE and Series 66. The earliest, the Series 7, was passed in October 2018.
Where did Erica Zaragoza work before Prosperitas Financial?
Before Prosperitas Financial, Erica Zaragoza was registered through GWN Securities Inc., November 2018 to May 2025.
Where is Erica Zaragoza based?
Erica Zaragoza’s registered office is in Irvine, CA.
Is Erica Zaragoza registered with FINRA?
No. Erica Zaragoza has no current broker registration.
How can I verify Erica Zaragoza’s record?
Search CRD 7007518 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Erica Zaragoza’s full registration record.
