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Prospera Financial Services, Inc. CRD 10740
$12.4B regulatory AUM 14 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-31 |
| NY | RA | APPROVED | 2025-10-30 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 07/2015 | 09/2018 |
| Ameriprise Financial Services, Inc. | New York | NY | 09/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | New York | NY | 03/2020 | 10/2025 |
| Prospera Financial Services Inc. | Dallas | TX | 10/2025 | Present |
Alphera Wealth Advisors, LLC; Investment Related - Yes; 161 Morningside Dr., Milford, CT 06460; DBA offering wealth advisory business; Advisor; Owner; 10/2025; 150 hours per month; 130 hours during trading hours; providing wealth advisory business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-02 |
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