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
- HNWI58.99%
- Individuals25.74%
- Pension & Profit Sharing Plans9.81%
- Corporations / Businesses3.91%
- Charitable Organizations1.28%
- 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 broker-dealer and registered investment adviser that describes itself as serving both individual/family and institutional clients. The firm is SEC registered (registered in 2006) and operates as a capital allocator that provides a mix of brokerage, financial planning, and portfolio management services across pooled vehicles, businesses and institutions, and individual/small business clients. Its business model includes financial planning, ongoing portfolio management, pension consulting and the selection of outside advisers. The firm also maintains insurance company affiliations and offers a varied fee menu that includes AUM-based fees, hourly and fixed charges, commissions, and performance-based arrangements.
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 Equities86%
- Public Funds/Mutual Funds8%
- State & Local Bonds3%
- US Government Bonds1%
- Investment Grade Corp Bonds1%
Owners & executives
3 of 16
Christopher Pascuzzi
Founder, CEOCRD 5243041
Shawn Baxter
Chief Compliance OfficerCRD 4346594
Jay Slouffman
President & CEOCRD 4401378
Contacts
3 of 328
Joseph Giardano
Registered RepresentativeCRD 5683083
Cynthia Whitman
Registered RepresentativeCRD 5688967
William Ferguson
OwnerCRD 5692020
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 856Active 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
Smith Capital Markets, LLC
Broker-DealerDallas, TX
Commerce Street Capital, LLC
Broker-DealerDallas, TX