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| Prospera Financial Services Inc
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| CRD # | 10740 |
| SEC # | 801-65845 |
| CIK # | 0001541625 |
| AUM | 12.44 B (2025-09-30) |
| Employees | 333 (62% Investors, 66% Brokers) |
| Fees | |
| Minimum | |
| Phone | 972-581-3000 |
| Address | 5429 LBJ Freeway Dallas, TX 75240 |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Facebook] |
| Total AUM ($B) |
|---|
| In the News | |
|---|---|
| Wed, 02 Sep 2026 | Prospera Financial Services Welcomes Two Experienced Advisors to Growing Platform — Yahoo Finance |
| Wed, 02 Sep 2026 | Prospera Financial Services Brings In Patrick Sweeney And John Palmer, Adding $75 Million In AUM — Pulse 2.0 |
| Tue, 04 Aug 2026 | Prospera Financial Services Welcomes Abound Advisors, with $300 Million in Client Assets, to its Network — PR Newswire |
| Wed, 15 Jul 2026 | Fund Update: New $8.1M $CNC stock position opened by Prospera Financial Services Inc — Quiver Quantitative |
| Wed, 15 Jul 2026 | Fund Update: New $12.5M $IDGT Stock Position Opened by Prospera Financial Services Inc — Moomoo |
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Apple Inc | 0.2 | ||
| Nvidia Corp | 0.2 | ||
| Microsoft Corp | 0.1 | ||
| Amazon Com Inc | 0.1 | ||
| Caterpillar Inc | 0.1 | ||
| Alphabet Inc | 0.1 | ||
| Alphabet Inc | 0.1 | ||
| Broadcom Inc | 0.1 | ||
| J P Morgan Chase & Co | 0.1 | ||
| Micron Technology Inc | 0.1 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 12,511 | 5.0 |
| (b) Individuals (high net worth individuals) | 6,195 | 5.7 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 2 | 0.0 |
| (g) Pension and profit sharing plans | 228 | 1.1 |
| (h) Charitable organizations | 61 | 0.1 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 103 | 0.2 |
| (n) Other | 3 | 0.3 |
| Total | 29,500 | 12.4 |
| By Discretionary | ||
| Discretionary | 20,134 | 8.4 |
| Non-Discretionary | 9,366 | 4.1 |
| Total | 29,500 | 12.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 12.4 | |
| Total | 29,500 | 12.4 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001541625] | |
| SC 13G | [0001541625] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.6B |
| Clients | 14 |
| Serves | Institutional, Retail |
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