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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

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-27
LA RA APPROVED 2025-07-15
  • TX RA
    APPROVED
    Since 2026-07-27
  • LA RA
    APPROVED
    Since 2025-07-15

Branch Locations

2121 Airline Dr Ste 160, Metairie, LA 70001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bell & Mccoy Metairie LA 12/2017 01/2025
Prospera Financial Services Inc Dallas TX 02/2025 03/2026
Republic National Distributing Company Pensacola FL 11/2014 11/2017
Prospera Financial Services Inc Dallas TX 04/2026 Present
Other Businesses

Dorsey & Company; Investment Related - Yes; 2121 Airline Dr, Ste 160, Metairie, LA 70001; DBA; Financial Advisor; 03/2026; 160 Hours Per Month; 160 During Trading Hours; Providing financial planning and investment-related services.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-14
  • S66 Uniform Combined State Law Examination
    2025-07-14

View on SEC IAPD

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