Carolyn Orser Sterling

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

• 10/1995 → 01/2022
  H.D. Vest Investment Securities, Inc.
  Irving, TX
• 07/1997 → 01/2022
  Hd Vest Advisory
  Irving, TX
• 01/2022 → Present
  Prospera Financial Services
  Dallas, TX

Previous Registrations

• 1997-06-27 → 2007-11-28
  Avantax Advisory Services
  Irving, TX

Other Businesses

Mrs. Sterling is a Board Member for Young Men's Service League located at 1821 Burning Tree Ln., Plano TX 75093. Serving as a secretary on the board for the 2021-2022 year responsible for recording meetings. Spending 1-9% of her time not during market hours. No compensation at this time.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-03-24
• S63 Uniform Securities Agent State Law Examination
  1995-11-16

Other Names

• Carolyn Ann Orser
• Carolyn O. Sterling