Prospera Financial Services, Inc.
5429 LBJ FREEWAY, Dallas, Texas 75240
SEC CRD#10740
Last ADV filed: 09/30/2025
Verified Fiduciary
Confirmed via SEC Form ADV registration data. This firm has a legal obligation to act in your best interest.
Additional Compensation Disclosed
This firm has disclosed additional revenue sources (insurance, brokerage, or proprietary products) in their SEC filings. Review the details below.
Fee Structure
Compensation methods:
Percentage of AUMHourly feesFixed feesCommissionsPerformance-based fees
Disciplinary Disclosures
This firm has 19 disclosures on record with the SEC.
Criminal disclosures; Regulatory actions
A disclosure does not necessarily indicate wrongdoing. Verify details on SEC Adviser Info or FINRA BrokerCheck.
Compensation Transparency
- Also registered with a broker-dealer
- Also offers proprietary investment products
These additional revenue sources are disclosed in the firm's Form ADV filing with the SEC. Ask the advisor directly how these affiliations affect the advice you receive.