John Nunzio Rossi

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:

Current Employers

Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-12-06

TX RA
APPROVED

Since 2021-12-06

Branch Locations

Houston, TX • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Houston	TX	11/2013	11/2021
Prospera Financial Services Inc.	Dallas	TX	11/2021	Present

11/2013 → 11/2021

Ubs Financial Services Inc

Houston, TX
11/2021 → Present

Prospera Financial Services Inc.

Dallas, TX

Previous Registrations

2010-10-14 → 2021-11-15

Ubs Financial Services Inc.

Houston, TX

Houston, TX
2009-06-01 → 2010-10-21

Morgan Stanley

Houston, TX
2007-06-20 → 2009-06-01

Morgan Stanley & Co. Llc

Houston, TX

Other Businesses

Stop Fountainview Project / 1940 Fountain Project #428 Houston, Texas 77057 / Other/ Other This is not a business, it's a non profit PAC to raise money for legal fees / PAC formed to stop construction of a low income housing project / Member of Board of Directors / / Treasurer / Start Date PAC formed for raising legal funds / Spending 1-9% of his weekly time none during market hours/ No Compensation Strake Jesuit Dads Club / 8900 Bellaire Blvd Houston, TX 77036 / Educational Establishment/ Charity / Charitable service hours and serving the PTO / Member of a committee with management / supervisor functions / / Treasurer for my son's high school dads club / Start Date 5/31/2019 Point of Impact; Investment Related - No; 4119 Oberlin St. Houston, TX 77005; Pro - Bono Personal Safety and Training; Board Member; Volunteer; 03/2026; 2 Hours per month; 0 During trading hours; Strategic and tactical stewardship of the philanthropy's mission statement. Bespoke PWA LLC; Investment Related - Yes; 1940 FOUNTAINVIEW #428 Houston, TX 77057; DBA; Financial Advisor; Owner; 11/2021; 160 Hours Per Month; 160 During Trading Hours; Providing financial planning and investment-related services.