PROSPERA FINANCIAL SERVICES, INC.

Broker-DealerFINRA MemberEst. 2006
Total AUM
$12.4B
Discretionary
$8.4B
67% of AUM
Accounts
29,500
Employees
333
Advisory reps
327
Brokerage reps
220

Firm details

Headquarters
DALLAS, Texas
CRD number
10740
Registered since
February 1, 2006
Website
www.prosperafinancial.com
Custodians
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Performance Based Fees, Other
Client types
  • HNWI45.79%
  • Individuals40.46%
  • Pension & Profit Sharing Plans8.73%
  • Other2.27%
  • Corporations / Businesses2%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Prospera Financial Services, Inc. is a corporation that operates as a broker-dealer and provides advisory services to individual, family and institutional clients. The firm, SEC registered since 2006, functions as both an investment allocator and an insurance broker-dealer, offering a mix of fee arrangements (AUM-based, hourly, fixed, commissions and performance-based fees). Its advisory scope includes financial planning, portfolio management for individuals, small businesses, pooled vehicles and institutions, pension consulting, and selecting other advisers. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 84%, Public Funds/Mutual Funds 9%, State & Local Bonds 3%, US Government Bonds 2%, Investment Grade Corp Bonds 1%, Cash & Cash Equivalents 1%84%
  • Exchange Traded Equities84%
  • Public Funds/Mutual Funds9%
  • State & Local Bonds3%
  • US Government Bonds2%
  • Investment Grade Corp Bonds1%

Owners & executives

3 of 14

  • HILARY PLUEMER

    Chief Administrative OfficerCRD 1888677

  • Edward Kern

    Chief Financial OfficerCRD 4364143

  • CHRISTOPHER PASCUZZI

    CEO and Wealth AdvisorCRD 5243041

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Contacts

3 of 313

  • Peter Deluyker

    Founder & Wealth AdvisorCRD 6669924

  • ANTHONY OSSOLA

    Managing Director and Senior Portfolio ManagerCRD 4269799

  • IAN ERIKSEN

    Financial AdvisorCRD 7062840

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 810

Active vs passive

$3.6B in ETFs

Passive

67%

$2.4B

Active

30%

$1.2B

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)InvescoPassiveLarge Growth$80.8M139,7842.26%
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Location

Primary office

DALLAS, TX

DALLAS

Location

DALLAS, TX

Headquartered in DALLAS, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.

Metro area
Dallas-Fort Worth, TX-OK
Region
South
County
DALLAS
Address
5429 Lyndon B Johnson Fwy
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth