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PROSPERA FINANCIAL SERVICES, INC.

DALLAS, TX · CRD 10740 · IAPD ↗ · 972-581-3000

$14.39BRegulatory AUM
211Advisory reps
326Employees
38Clients
26-50Planning clients
0Private funds
53States
19Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
October 2026 — PROSPERA FINANCIAL SERVICES, INC. added office(s): 139 -> 149 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
October 2026 — PROSPERA FINANCIAL SERVICES, INC. reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
55
December 2025 — PROSPERA FINANCIAL SERVICES, INC. added office(s): 123 -> 139 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
December 2025 — PROSPERA FINANCIAL SERVICES, INC. reported RAUM up 27% ($9.81B -> $12.44B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
December 2025 — PROSPERA FINANCIAL SERVICES, INC. grew from 159 to 207 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
October 2024 — PROSPERA FINANCIAL SERVICES, INC. added office(s): 105 -> 123 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.