PROSPERA FINANCIAL SERVICES, INC.

DALLAS, TX

972-581-3000

SEC #801-65845

Total AUM

$12.4B

Employees

333

Clients

19,103

Firm overview

Client Breakdown by AUM

AUM previous 5 years

Smooth Smooth / Detailed

Business

Principal Address

5429 LBJ FREEWAY
SUITE 750
DALLAS
TX 75240
United States

Operating Hours

8:00AM - 4:00PM
Monday - Friday

Phone

972-581-3000

Other Offices

139

Financials

Total AUM

$12.4B

Accounts

29,500

Discretionary

$8.4B

Accounts

20,134

Non-Discretionary

$4.1B

Accounts

9,366

Clients

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Individual Clients

12,511

AUM

$5B

HNW Individual Clients

6,195

AUM

$5.7B

Pooled Vehicle Clients

AUM

$30.8M

Pension/Profit Sharing Plan Clients

228

AUM

$1.1B

Charitable Organization Clients

AUM

$60.5M

Corporation or Business Clients

103

AUM

$249M

Other Clients

AUM

$282.5M

Description of Other Clients

TRUST COMPANY

Services

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Services Offered

Advisor / Fund Manager SelectionFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementPension ConsultingPooled Vehicle Portfolio Management

Compensation Types

Charges CommissionCharges Fixed FeeCharges Hourly FeeCharges Other FeeCharges Percentage AUMCharges Performance-Based

Other Compensation

PERCENTAGE OF ASSETS UNDER REVIEW

Compliance

Disclosures

Felony ChargeOther Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Discipline/Expulsion/SuspensionSRO False Statement FindingSRO Rule Violation

State Registrations

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVIVTWAWIWV

Affiliates

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Affiliates

Reported 2 business affiliates.

Claimed Affiliates

Reported as an affiliate by 2 other businesses.