Richard Dean Pascuzzi

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

• 04/2000 → Present
  Prospera Financial Services
  Dallas, TX

Previous Registrations

• 2005-05-03 → 2005-12-20
  Pfs Asset Management, Inc.
  Dallas, TX

Other Businesses

1) PSE Wealth Management; Investment Related - Yes; 5429 LBJ Freeway, Suite 750, Dallas, TX 75240; DBA for offering financial services; Advisor; Owner; 7/2025; 40 hours per month; 40 hours per month during trading hours; providing financial planning and investment-related services 2) Prospera Life & Annuity, Inc.; Investment Related - Yes; 5429 LBJ Freeway, Suite 750, Dallas, TX 75240; Insurance Agency; Agent; Owner; 07/1995; 2 hours per month; 2 hours per month during trading hours; providing insurance products. 3) RDKI Enterprises, LLC; Investment Related - Yes; 2401 Skyview Dr., Richardson, TX 75080; 4) Real Estate Holdings; Manager; 04/2007; 2 hours per month; 2 hours per month during trading hours; Manage real estate holdings. 5) Pascuzzi Ltd.; Investment Related - Yes; 2401 Skyview Dr., Richardson, TX 75080; Family Limited Partnership; 08/1990; 2 hours per month; 2 hours per month during trading hours; Manage family partnership. 6) Prospera Financial, LLC; Investment Related - Yes; 5429 LBJ Freeway, Suite 750, Dallas, TX 75240; ; LLC; Secretary; 2 hours per month; 06/2021; 2 hours per month during trading hours; Treasurer.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-22
• S63 Uniform Securities Agent State Law Examination
  1981-04-14