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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-29 |
| CA | RA | APPROVED | 2025-09-12 |
Branch Locations
100 Spectrum Center Dr Suite 900, Irvine, CA 92618 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Irvine | CA | 05/2009 | 08/2020 |
| B. Riley Wealth Management, Inc. | Irvine | CA | 08/2020 | 09/2025 |
| B. Riley Wealth Advisors, Inc. | Irvine | CA | 07/2022 | 09/2025 |
| Prospera Financial Services Inc. | Dallas | TX | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-09 |
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