Company profile
Website
Employees
Incorporated
Location
Fiscal year end
Former names
Prospera Financial Services
SEC CIK
IRS number
751832551
SEC advisor number
801-65845
FINRA CRD number
10740
AUM ?
$7.91 bn
(as of 18 Jan 24)
Accounts
20,915
(as of 18 Jan 24)
Employees
240
(156 investment advisory or research)
Address
Prospera Financial Services
5429 LBJ FREEWAY
SUITE 400
DALLAS
TX 75240
5429 LBJ FREEWAY
SUITE 400
DALLAS
TX 75240
Phone
972-531-3000
Latest filings (excl ownership)
MA-W
Municipal Advisor notice of withdrawal
5 Nov 20
MA-I/A
Municipal Advisor registration (individual) (amended)
30 Oct 20
MA-I/A
Municipal Advisor registration (individual) (amended)
30 Oct 20
MA-I/A
Municipal Advisor registration (individual) (amended)
30 Oct 20
MA-I/A
Municipal Advisor registration (individual) (amended)
30 Oct 20
MA-A
Municipal Advisor registration (firm) (update)
9 Oct 20
MA-A
Municipal Advisor registration (firm) (update)
18 Oct 19
MA-A
Municipal Advisor registration (firm) (update)
2 Nov 18
MA-I/A
Municipal Advisor registration (individual) (amended)
26 Oct 18
MA-A
Municipal Advisor registration (firm) (update)
28 Sep 17
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
14 Feb 24
13F-HR
Quarterly holdings report by institutional manager
13 Nov 23
13F-HR
Quarterly holdings report by institutional manager
8 Aug 23
13F-HR
Quarterly holdings report by institutional manager
12 May 23
13F-HR
Quarterly holdings report by institutional manager
8 Feb 23
13F-HR
Quarterly holdings report by institutional manager
27 Oct 22
13F-HR
Quarterly holdings report by institutional manager
8 Aug 22
13F-HR
Quarterly holdings report by institutional manager
4 May 22
13F-HR
Quarterly holdings report by institutional manager
10 Feb 22
13F-HR
Quarterly holdings report by institutional manager
12 Nov 21