Prospera Financial Services, Inc.
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
FINTRXOverview
Prospera Financial Services, Inc. is a corporate broker-dealer and insurance intermediary that offers advisory and brokerage services to both individual/family clients and institutional accounts. The firm has been SEC-registered since 2006 and functions as a capital allocator, combining financial planning and portfolio management with access to third-party managers. Its advisory capabilities extend across individual and small-business portfolios, pooled investment vehicles, institutional and business accounts, and include selection-of-other-advisers services and pension consulting. Compensation models are varied: percentage-of-AUM, hourly and fixed fees, commission-based arrangements, and performance-linked fees are all used. Prospera also distributes annuity products through its insurance affiliation.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities84%
- Public Funds/Mutual Funds9%
- State & Local Bonds3%
- US Government Bonds2%
- Investment Grade Corp Bonds1%
Owners & executives
3 of 16
Hilary Pluemer
Chief Administrative OfficerCRD 1888677
Edward Kern
Chief Financial OfficerCRD 4364143
Christopher Pascuzzi
CEO and Wealth AdvisorCRD 5243041
Contacts
3 of 312
Peter Deluyker
Founder & Wealth AdvisorCRD 6669924
Anthony Ossola
Managing Director and Senior Portfolio ManagerCRD 4269799
Ian Eriksen
Financial AdvisorCRD 7062840
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 857Active vs passive
$3.8B in ETFs
70%
$2.7B
28%
$1.2B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $97.2M | 131,820 | 2.54% |
Location
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
Similar firms
Hilltop Securities Inc.
Broker-DealerDallas, TX
Momentum Independent Network Inc.
Broker-DealerDallas, TX
First Dallas Securities, Inc.
Broker-DealerDallas, TX
Worth Financial Group Inc.
Broker-DealerDallas, TX
Stonegate Capital Markets, Inc.
Broker-DealerDallas, TX
Nexbank Securities Inc
Broker-DealerDallas, TX