• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD DEAN PASCUZZI
CRD#: 711548
IA
Investment Adviser
B
Broker
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 5429 LBJ FREEWAY
SUITE 750
DALLAS, TX 75240
Registration History
1980198519901995200020052010201520202025IAPROSPERA FINANCIAL SERVICES, INC. (CRD# 10740)2003 - Present (21 years)BPROSPERA FINANCIAL SERVICES, INC. (CRD# 10740)1992 - Present (32 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1984 - 1992 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1984 (3 years)BWESTAMERICA FINANCIAL CORPORATION (CRD# 883)1980 - 1981 (<1 year)IAPFS ASSET MANAGEMENT, INC. (CRD# 132834)2005 - 2005 (<1 year)
Disclosure(s)
View By:
8/30/1994
Customer Dispute
Settled
7/22/1994
Customer Dispute
Settled
6/22/1994
Customer Dispute
Settled
4/27/1994
Customer Dispute
Award / Judgment
10/21/1993
Customer Dispute
Settled
10/20/1993
Customer Dispute
Settled
4/5/1993
Customer Dispute
Settled
3/27/1993
Customer Dispute
Settled
3/3/1993
Customer Dispute
Settled
1/22/1993
Customer Dispute
Settled
1/5/1993
Customer Dispute
Settled
12/1/1992
Customer Dispute
Settled
11/20/1992
Customer Dispute
Settled
10/9/1992
Employment Separation After Allegations
7/27/1992
Customer Dispute
Settled
5/15/1992
Customer Dispute
Settled
6/5/1991
Customer Dispute
Settled
6/3/1991
Customer Dispute
Settled
3/1/1991
Customer Dispute
Settled
1/25/1991
Customer Dispute
Settled
12/1/1990
Customer Dispute
Settled
11/28/1990
Customer Dispute
Settled
1/17/1990
Regulatory
Final
1/11/1990
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/16/1993

B
Nevada 1/8/1998

B
Arizona 3/30/2007

B
New Hampshire 7/9/2015

B
Arkansas 6/24/1996

B
New Jersey 6/18/2015

B
California 12/1/1993

B
New Mexico 11/28/1994

B
Colorado 7/15/1993

B
New York 9/23/2010

B
Connecticut 9/1/2023

B
North Carolina 9/21/1993

B
Florida 12/7/1999

B
North Dakota 8/14/2017

B
Georgia 4/14/1993

B
Ohio 3/9/1993

B
Hawaii 7/28/1998

B
Oklahoma 1/20/1993

B
Idaho 3/11/2024

B
Oregon 1/18/2007

B
Illinois 1/27/1993

B
Pennsylvania 1/25/1993

B
Indiana 1/5/1995

B
Rhode Island 1/18/2006

B
Iowa 1/25/1993

B
South Carolina 12/6/1995

B
Kansas 2/12/1993

B
South Dakota 8/15/2011

B
Kentucky 7/16/1998

B
Tennessee 1/29/1999

B
Louisiana 1/14/1998

B
Texas 12/10/1992

B
Maryland 4/5/2000

IA
Texas 6/27/2003

B
Michigan 8/11/2015

B
Utah 5/22/2015

B
Mississippi 11/24/2015

B
Virginia 3/24/1998

B
Missouri 2/23/1998

B
Washington 6/16/1998

B
Montana 1/9/2006

B
Wisconsin 5/22/2015

B
Nebraska 4/20/1998

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
5429 LBJ FREEWAY SUITE 750, DALLAS, TX 75240
Registered with this firm since 6/27/2003

B
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
5429 LBJ FREEWAY SUITE 750, DALLAS, TX 75240
Registered with this firm since 12/9/1992

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/03/2005 - 12/20/2005 PFS ASSET MANAGEMENT, INC. (CRD#:132834) DALLAS, TX
B
04/30/1984 - 11/06/1992 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
03/30/1981 - 05/14/1984 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
07/08/1980 - 01/31/1981 WESTAMERICA FINANCIAL CORPORATION (CRD#:883)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.