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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

AuthorityCategoryStatusDate
VA RA APPROVED 2026-07-17
  • VA RA
    APPROVED
    Since 2026-07-17

Branch Locations

Richmond, VA • United States

10146 West Broad St Suite B, Glen Allen, VA 23060 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Patrick Henry High School Ashland VA 04/2015 05/2019
Food Lion Ashland VA 05/2019 08/2019
Patrick Henry High School Ashland VA 08/2019 05/2020
Tom Leonard's Short Pump VA 05/2020 08/2020
Liberty University Lynchburg VA 08/2020 05/2021
Price Perkins, Llc Glen Allen VA 06/2021 08/2021
Liberty University Lynchburg VA 08/2021 05/2022
Nasdaw Dorsey Wright Richmond VA 06/2022 12/2022
Liberty University Lynchburg VA 12/2022 06/2023
Liberty University Lynchburg VA 07/2023 07/2024
Prospera Financial Services Inc. Dallas TX 06/2024 08/2026
Prospera Financial Services Inc. Dallas TX 08/2026 Present
  • 04/2015 → 05/2019
    Patrick Henry High School
    Ashland, VA
  • 05/2019 → 08/2019
    Food Lion
    Ashland, VA
  • 08/2019 → 05/2020
    Patrick Henry High School
    Ashland, VA
  • 05/2020 → 08/2020
    Tom Leonard's
    Short Pump, VA
  • 08/2020 → 05/2021
    Liberty University
    Lynchburg, VA
  • 06/2021 → 08/2021
    Price Perkins, Llc
    Glen Allen, VA
  • 08/2021 → 05/2022
    Liberty University
    Lynchburg, VA
  • 06/2022 → 12/2022
    Nasdaw Dorsey Wright
    Richmond, VA
  • 12/2022 → 06/2023
    Liberty University
    Lynchburg, VA
  • 07/2023 → 07/2024
    Liberty University
    Lynchburg, VA
  • 06/2024 → 08/2026
    Dallas, TX
  • 08/2026 → Present
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-07-16
  • S66 Uniform Combined State Law Examination
    2026-07-16

View on SEC IAPD

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