Jonathan Mark Rawlings

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2007 → 11/2017
  Girard Securities, Inc.
  Dallas, TX
• 06/2009 → 08/2023
  United Capital Financial Advisers, Llc
  Newport Beach, CA
• 11/2017 → 09/2020
  Cetera Advisor Networks Llc
  El Segundo, CA
• 08/2023 → 09/2023
  Hilltop Securities
  Dallas, TX
• 09/2023 → Present
  Prospera Financial Services
  Dallas, TX

Previous Registrations

• 2007-03-06 → 2023-10-13
  United Capital Financial Advisors
  Dallas, TX
  Irving, TX
  Dallas, TX
• 2023-09-05 → 2023-10-12
  Hilltop Securities Inc.
  Dallas, TX
  Dallas, TX
• 2017-11-01 → 2017-11-13
  Cetera Wealth Services, Llc
  Houston, TX
  Irving, TX
• 2012-09-14 → 2017-11-01
  Girard Securities, Inc.
  Dallas, TX
  Irving, TX
  San Diego, CA
  Houston, TX
• 2005-10-07 → 2007-02-26
  Wells Fargo Advisors Financial Network, Llc
  Dallas, TX
  Dallas, TX
• 2005-02-18 → 2005-07-25
  Bok Financial Securities, Inc.
  Dallas, TX

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-02-17
• S63 Uniform Securities Agent State Law Examination
  2004-04-09

Designations

• Certified Financial Planner

Other Names

• Mark Rawlings