Mark Petersen has been Chief Compliance Officer & COO of Prosperitas Financial since July 2021, is a control person of the firm and directly owns between 25% and 50% of it.
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.
Mark Petersen’s longest registration is the current one, 5 years at Prosperitas Financial since 2021. Before joining Prosperitas Financial in 2021, Mark Petersen was registered through Next Financial Group, Inc.
- Prosperitas Financial, LLCCurrent– present · 5 yearsValencia, CA · Adviser representative · Firm CRD 315768
- Next Financial Group, Inc.– · 1 yearValencia, CA · Adviser representative · Firm CRD 46214
Investment adviser representative registrations
Mark Petersen is registered as an investment adviser representative in 2 states. The first approvals date from August 2021; the most recent is Texas, in December 2021.
- CaliforniaSince 31 August 2021
- TexasSince 17 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 1 February 2021 |
| Series 7TO | General Securities Representative Examination | 21 December 2020 |
| SIE | Securities Industry Essentials Examination | 8 February 2020 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Mark Thomas Petersen
- CRD
- 7284509
- Firm
- Prosperitas Financial · CRD 315768
- Role
- Chief Compliance Officer & COO
- Office
- 25060 AVENUE STANFORD, SUITE 100, Valencia, CA 91355
- Registration
- Investment adviser registration
- In the industry since
- December 2020
- Disciplinary history
- Not yet shown here · SEC record
Where does Mark Petersen work?
Mark Petersen has been Chief Compliance Officer & COO of Prosperitas Financial, LLC since July 2021, and is a control person of the firm.
Is Mark Petersen a financial advisor?
Yes. Mark Petersen has a current investment-adviser registration in California and Texas, through Prosperitas Financial since August 2021.
How many years of experience does Mark Petersen have?
Mark Petersen has 5 years in the financial industry, since December 2020, across 2 adviser firms.
What exams has Mark Petersen passed?
Mark Petersen has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in February 2020.
Where is Mark Petersen based?
Mark Petersen’s registered office is in Valencia, CA.
Is Mark Petersen registered with FINRA?
No. Mark Petersen has no current broker registration.
How can I verify Mark Petersen’s record?
Search CRD 7284509 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mark Petersen’s full registration record.
