February 2, 2026 | Issue 2-26

Prosperity Fall Forum 2026


Mark your calendar for the Prosperity Fall Forum on September 29, in Kansas City.


This full-day event will bring together Prosperity Network advisors for a day of learning, collaboration, and meaningful connection.


Additional details, including the agenda and registration information, will be shared in the coming months. We look forward to gathering for an engaging and impactful Prosperity Fall Forum!

Outside Business Activities (OBA)


Outside Business Activities (OBAs) can seem like a foggy mystery.


  • Do I need to submit an OBA if I am the POA for my mom?
  • Do I need to submit an OBA if I am the successor trustee of my husband’s trust?
  • Do I need to submit an OBA if I am on the board of my Kiwanis Club?


Click below for clarity and guidance regarding OBAs.

Employer Retirement Plans Compliance Calendar Resource


Joe Pelle and Amber Roane with the Prosperity Advisors Employer Retirement Plans (ERP) are sharing the compliance calendars they send out each year to their employer retirement plan clients. This is a great way to provide general reminders on the compliance deadlines for employer retirement plans, including Simple IRA plans. Get this resource by clicking below!

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Prosperity Network OSJ "Wins"


Benefits of the Prosperity Network OSJ include advocating for YOU! Click below to read about real-world examples of how the Prosperity Network OSJ advocated for our advisors in 2025.

Staff Announcements - Eric Bowen and Scott Sirois


In case you missed the January 22nd email announcement, we want to share an update with you regarding our team. Eric Bowen has resigned his position as Business Development and Member Consultant to pursue another opportunity. His last day with us was Friday, the 23rd. We appreciate the contributions he made during his time here and wish him continued success.If you have any open items with Eric or questions related to business development or member support, please feel free to reach out to me directly, and I will be happy to assist you. Thank you for your continued trust and partnership. 


Scott Sirois, our director of alignment and technology, will be retiring on March 31. 

 

Scott has been a valued and trusted member of our team and has worked closely with many of our OSJ branch members over the years. His deep knowledge, steady leadership, and commitment to supporting our advisors have made a lasting impact across the organization. He is not only highly respected for his expertise, but also genuinely appreciated for the way he shows up for others.

 

While Scott will officially retire at the end of March, he will remain affiliated with Cetera through year-end to help wrap up outstanding projects and to consult with us as needed. This transition allows for continuity while ensuring his work is thoughtfully completed.

 

Over the coming weeks we will be introducing to you Prosperity’s new program office. This talented team, with their deep experience, training, and skills will continue to deliver and build upon the support and services that are available to you, our valued members, with resources, tools, and best practices.

 

Please join us in congratulating Scott on a well-earned retirement and thanking him for the many contributions he has made to our firm. We are grateful for all he has done and wish him the very best in this next chapter. 


Warm regards,

Paula Johnston

President / OSJ Branch Manager


FINRA Rules and Policies - Do They Really Matter?

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January 2025 FINRA Real-World Discipline Examples


If you ever wonder whether all the rules and policies really matter, they DO! Let's look at some recent FINRA enforcement cases. 

Upcoming LEAD Call - February 13th


Hire Smart, Manage Easy - A Quick Guide to Best Practices in the Hiring Process


Megan co-leads a monthly call with Cetera for support staff and solo practitioners called LEAD (Learn, Excel, Advocate, & Develop). This month’s topic will be Hire Smart, Manage Easy: A Quick Guide to Best Practices in the Hiring Process co-led by Andrea Houseworth from Murdock Banner Financial Group. The call will be held on February 13th at 11am CST. You can register here:


https://forms.office.com/pages/responsepage.aspx?id=ZzmjTAmsXU-yolc8e7vdSgr8-ScZR41JsdIFpSk-Gm5UQTlCSTk1RVBaWTNWTjJZOEZYOFAwVzlNVC4u

Securities and advisory services offered through Registered Representatives of Cetera Advisors LLC (doing insurance business in CA as CFGA Insurance Agency LLC), member FINRA/SIPC, a broker dealer and Registered Investment Advisor.

Cetera is under separate ownership from any other named entity.

For internal use only.

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