PROSPERA FINANCIAL SERVICES, INC.

CRD 10740 · SEC 801-65845

Visit website

5429 LBJ FREEWAY, SUITE 750, DALLAS, TX, 75240, United States

Phone

972-581-3000

Fax

972-581-3001

Registration

Registered (APPROVED)

Source

SEC registered

Total AUM

$12.44B

Discretionary AUM

$8.37B

Team

333 total employees; 207 advisory reps; 14 broker-dealer reps

Clients

11-25

Fees

Percentage of AUM; Hourly charges; Fixed fees; Commissions; Performance-based fees; PERCENTAGE OF ASSETS UNDER REVIEW

Org form

Corporation

Filing date

2025-09-30

Disciplinary history

Yes

Services

Financial planningPortfolio management (individuals)Portfolio management (pooled vehicles)Portfolio management (institutions)Pension consultingSelection of other advisers

Client types

Type	Clients	AUM
Individuals	12511	$5.03B
High net worth individuals	6195	$5.69B
Pooled investment vehicles	2	$30.8M
Pension/profit sharing plans	228	$1.09B
Charitable organizations	61	$60.5M
Corporations/business entities	103	$249.0M

States served

VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, TN, UT, VA, WV, WI, WY, VI, MO, WA, TX, NH, HI, CT, FL, SD

All web addresses on file

Official SEC filing: View on IAPD