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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-10-25 |
| PA | RA | APPROVED | 2022-10-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Red Bank | NJ | 09/2012 | 06/2017 |
| Wells Fargo Advisors Financial Network, Llc | Lewisburg | PA | 06/2017 | 10/2022 |
| Prospera Financial Services Inc | Dallas | TX | 10/2022 | Present |
TRUSTEE FOR MOTHER'S TRUST; INV. RELATED; PITTSBURGH, PA; START DATE 12/2014; 12 HRS PER MONTH; LESS THAN 1 HR DURING TRADING. CRUSADER VENTURES, LLC; INVESTMENT RELATED; SELINSGROVE,PA; 90% OWNERSHIP; START DATE 07/31/2019; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; TWIN RIVER WEALTH MANAGEMENT; INVESTMENT RELATED; LEWISBURG,PA; 90% OWNERSHIP; START DATE 06/16/2017; NUMBER OF HOURS PER MONTH 40; NUMBER OF HOURS DURING TRADING 8; OWNER. POWER OF ATTORNEY FOR MOTHER; INV. RELATED; PITTSBURGH, PA; START DATE 4/2021; 3 HRS PER MONTH; 0 HRS DURING TRADING. ADVIOSRY BOARD MEMBER OF PENN STATE OUTREACH LOCATED AT 329 INNOVATION BLVD STE 226, STATE COLLEGE, PA 16803. THIS BUSINESS IS NOT INVESTMENT RELATED NONE DURING MARKET HOURS. NO COMPENSATION AT THIS TIME.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-24 |
| S65 | Uniform Investment Adviser Law Examination | 1992-01-02 |
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