Matthew Gaspar

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_RES	2026-02-25
AZ	RA	APPROVED	2023-05-19

TX RA
APPROVED_RES

Since 2026-02-25
AZ RA
APPROVED

Since 2023-05-19

Branch Locations

Paradise Valley, AZ • United States

Disclosures

2 disclosure categories 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Merrill Lynch	Phoenix	AZ	03/2010	05/2023
Bank Of America, N.A.	Phoenix	AZ	04/2013	05/2023
Prospera Financial Services	Dallas	TX	05/2023	Present

03/2010 → 05/2023

Merrill Lynch

Phoenix, AZ
04/2013 → 05/2023

Bank Of America, N.A.

Phoenix, AZ
05/2023 → Present

Prospera Financial Services

Dallas, TX

Previous Registrations

2010-07-12 → 2023-06-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phoenix, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-07-09

S66 Uniform Combined State Law Examination

2010-07-09

Other Names

Matt Gaspar

View on SEC IAPD