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Prospera Financial Services, Inc. CRD 10740
$12.4B regulatory AUM 14 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2026-01-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jackson National Life Distributors, Llc | Franklin | TN | 08/2022 | 10/2025 |
| United Parcel Service | Knoxville | TN | 11/2019 | 11/2021 |
| Copper Cellar | Knoxville | TN | 11/2021 | 05/2022 |
| The University Of Tennessee | Knoxville | TN | 08/2018 | 05/2022 |
| Student | Manchester | TN | 08/2012 | 05/2018 |
| Food Lion, Llc | Manchester | TN | 05/2018 | 08/2019 |
| Prospera Financial Services Inc. | Dallas | TX | 11/2025 | Present |
S&L Properties LLC; Investment related - Yes; 2627 English Hill Dr., Murfreesboro, TN 37130; LLC for Rental Property; 25% Owner; 06/2026; 5 Hours Per Month; 0 During Trading Hours; Ownership, management, leasing and investment in rental real estate.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 2022-11-09 |
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