Prospera Financial Services, Inc.
● SEC registered since 2006CRD 10740SEC# 801-65845Dallas, TX
Reg. AUM
$12.44B
Employees
333
Accounts
29,500
Location
Dallas, TX
Prospera Financial Services, Inc. assets under management
Prospera Financial Services, Inc. is an SEC-registered investment adviser based in Dallas, TX. The firm has been registered since 2006. It reports $12.4 billion in regulatory assets under management and employs 333 people.
Prospera Financial Services, Inc. owners & executives
10 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| David Walter Stringer Control | Co-Ceo | Under 5% | 2021 |
| Edward Kern | Chief Financial Officer | Under 5% | 2017 |
| Prospera Financial, LLC Control | Holding Company | Over 75% | 2021 |
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Join to unlock · $37/moFrequently asked questions
How much does Prospera Financial Services, Inc. manage?
Prospera Financial Services, Inc. reports $12.4 billion in regulatory assets under management on its Form ADV.
How many employees does Prospera Financial Services, Inc. have?
Prospera Financial Services, Inc. reports 333 employees.
Where is Prospera Financial Services, Inc. located?
Prospera Financial Services, Inc. is based in Dallas, TX and has been SEC-registered since 2006.
Does Prospera Financial Services, Inc. disclose fund performance?
Prospera Financial Services, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 5429 Lbj Freeway, Suite 750, Dallas, TX 75240 |
| Phone | 972-581-3000 |
| Fax | 972-581-3001 |
| Office hours | 8:00a.m. - 4:00p.m. |
| SEC region | Fort Worth Regional Office (FWRO) |
| Discloses disciplinary history | Yes |
Regulatory AUM
$12.44B▲ 27%
Apr '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 7%
Larger than 93% of 16,271 advisers
EmployeesTop 2%
More than 98% of 16,825 advisers
Assets under management
$12.44Bregulatory AUM
Discretionary $8.37BNon-discretionary $4.06B