at


Investment Adviser Firm Summary

PROSPERA FINANCIAL SERVICES, INC. (CRD# 10740 / SEC# 8-28164, 801-65845)
Alternate Names: ACCREDITED FIDUCIARY ADVISORS, LLC , ACCREDITED FIDUCIARY ADVISORS, LLC. , ACM WEALTH MANAGEMENT , ADDISON SECURITIES, INC. , ADELAIDE WEALTH ADVISORS , AMARILLO SECURITIES , ARBITRAGE MANAGEMENT GROUP , ARK FINANCIAL MANAGEMENT, LLC , ASCENDANT FINANCIAL ADVISORS , ASSET CAPITAL MANAGEMENT , BARRIGER & CO, INC. , BARRY VOGEL & ASSOCIATES , BECKER SUFFERN MCLANAHAN, LTD , BEDNARZ FINANCIAL , BELL WEALTH MANAGEMENT LLC , BELL WEALTH MANAGEMENT, LLC , BENNETT JENSEN GROUP , BENTLEY & COMPANY INVESTMENTS , BLANCHARD FINANCIAL SERVICES , BOB BENNIE WEALTH MANAGEMENT , BOTEL ASSET MANAGEMENT , BRIAN L SMITH FINANCIAL ADVISORS , BUCHANAN CAPITAL, INC , C E GAYE & SONS SECURITIES, LTD , C E GAYE AND SONS SECURITIES , CAPTRUST FINANCIAL ADVISORS , CARDWELL AND ASSOCIATES , CASTLEROCK FINANCIAL ADVISORS , CECIL & CO , CHARLOTTE FINANCIAL ADVISORS , CHARNEY INVESTMENT GROUP , CLEARPATH INVESTMENT , CORDATUS WEALTH MANAGEMENT, LLC , COTTONWOOD CAPITAL ADVISORS , COVINO FINANCIAL GR LTD DBA LEGACY WLTH MGMT GR , CROOK WEALTH MANAGEMENT , CURMUDGEON CAPITAL LLC , D. PATERSON COPE WEALTH MANAGEMENT , DANIAS FINANCIAL MANAGEMENT , DAY WEALTH MANAGEMENT , DFS INVESTMENTS, LLC , DOMINION CAPITAL PARTNERS WEALTH MANAGEMENT , ENDURANCE WEALTH PARTNERS , FINANCIAL & INSURANCE ASSOCIATES , FINANCIAL & TAX STRATEGIES, LLC , FINANCIAL AND INSURANCE ASSOCIATES , FINANCIAL E STRATEGIES, LLC , FOLTZ INVESTMENT GROUP, LLC , FOREMAN FINANCIAL GROUP , FULCRUM WEALTH PLANNING , GODLEY WEALTH MANAGEMENT , HANSEN, STILES & ASSOCIATES , HARTMAN INVESTMENT GROUP, LLC , HEIDTKE & CO, INC , HEIDTKE & CO, INC. , HFS SECURITIES , HUDDLESTON SMITH WEALTH MANAGEMENT , INSTITUTIONAL EQUITIES , JAK WEALTH MANAGEMENT , JAMESTOWNE INVESTMENTS, LLC , JRS WEALTH MANAGEMENT , KATZ FINANCIAL , KINGSLEY ADVISORS , KUTZEN FINANCIAL , LITTLE & ASSOCIATES WEALTH MANAGEMENT , LIVEOAK WEALTH ADVISORS, LLC , MAHON FINANCIAL , MATTHEWS FINANCIAL SERVICES , MCGUIRE-DYKE INVESTMENT GROUP , MCMAHAN FINANCIAL, LLC , MICHAEL DALLAS RETIREMENT SOLUTIONS , MILLER FINANCIAL SERVICES LLC , MONEY MATTERS 911 , MOSSAKOWSKI & NICHOLS WEALTH MANAGEMENT, LLC , MYERS INVESTMENT GROUP, INC. , OAKES WEALTH MANAGEMENT , OPTIMA WEALTH MANAGEMENT, INC , PITTSBURGH WEALTH MANAGEMENT GROUP , PLYMOUTH ROCK FINANCIAL PARTNERS , PRICE PERKINS LLC , PROMETHEUS WEALTH MANAGEMENT , PROSPERA FINANCIAL SERVICES , PROSPERA FINANCIAL SERVICES, INC. , PROSPERA NY , PROVIDENT STRATEGIES GROUP , PSE WEALTH MANAGEMENT , PYLE FINANCIAL SERVICES , REAGAN CONSULTING, LLC , REAGAN HOLLOWAY , REAGAN JAMES WEALTH ADVISORS , RICK WHITEHURST ASSET MANAGEMENT , SABELHAUS WEALTH PARTNERS , SARA GIBBS WEALTH MANAGEMENT , SECURITY FIRST GROUP , SHAFRANEK, FLANAGAN AND GREGORY , SILVA FINANCIAL GROUP , SILVER CREEK FINANCIAL GROUP, LLC , SILVERTHORN INVESTMENTS , SOURCE ROCK CAPITAL MANAGEMENT , SOUTHERN INVESTMENT PARTNERS , STONEBRIDGE WEALTH MANAGEMENT , SUMMIT INVESTMENTS , TCA FINANCIAL GROUP, LLC , TESTA & ASSOCIATES LLC , TESTA & ASSOCIATES LLC , THE BISHOFF FINANCIAL GROUP , THE DANIAS GROUP , THE FINANCIAL MAESTRO , THE FINANCIAL MAESTRO, LLC , THE OPTIMA GROUP , THE RAGUSA GROUP , WAITS FINANCIAL GROUP , WATERS FINANCIAL , WATERS FINANCIAL GROUP , WEALTH RESOURCE CONNECTION , WEST TEXAS INDEPENDENT FINANCIAL SERVICES , WESTON BANKS WEALTH PARTNERS , WILLIAMSON FINANCIAL GROUP , WOODS ASSOCIATES , WORTHLAND GROUP

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/01/2006
Texas Terminated 02/02/2006

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/03/2009
Alaska 01/12/2011
Arizona 03/05/2007
Arkansas 02/08/2010
California 03/05/2007
Colorado 03/05/2007
Connecticut 03/05/2007
Delaware 12/18/2007
District of Columbia 04/23/2008
Florida 03/06/2007
Georgia 03/05/2007
Hawaii 03/05/2007
Idaho 04/03/2009
Illinois 06/16/2006
Indiana 03/05/2007
Iowa 01/12/2011
Kansas 03/05/2007
Kentucky 03/05/2007
Louisiana 02/22/2011
Maine 03/05/2007
Maryland 01/28/2008
Massachusetts 10/26/2006
Michigan 03/05/2007
Minnesota 02/28/2006
Mississippi 01/12/2011
Missouri 03/05/2007
Montana 03/05/2007
Nebraska 11/30/2010
Nevada 03/05/2007
New Hampshire 09/07/2007
New Jersey 03/20/2007
New Mexico 01/12/2011
New York 03/05/2007
North Carolina 05/30/2006
North Dakota 01/12/2011
Ohio 03/05/2007
Oklahoma 02/01/2006
Oregon 03/05/2007
Pennsylvania 05/30/2006
Puerto Rico 09/25/2015
Rhode Island 01/12/2011
South Carolina 03/05/2007
South Dakota 01/21/2011
Tennessee 03/06/2007
Texas 02/01/2006
Utah 11/03/2010
Vermont 10/21/2011
Virgin Islands 09/27/2016
Virginia 03/05/2007
Washington 03/05/2007
West Virginia 01/12/2011
Wisconsin 02/01/2006
Wyoming 07/25/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser