Prospera Financial Services Inc.

5429 LBJ Freeway

Dallas, TX 75240

(972) 581-3000

Year founded: 1982

Year end: June 30

No. of retail offices: 96

All 2014-2011 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

You are currently viewing a limited portion of this firm's profile.

Click here to see the information available to Data Center subscribers.

  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Retail accounts
  • Advisory accounts
  • Other types of accounts
  • Other types of accounts (specified)

Click here to subscribe

2014 2013 2012
No. of reps138135130
No. of producing reps138135120
No. of reps producing $100K-$499K /year859185

Payout grid and comparison is available to Data Center subscribers only.

Click here to sign up now.

2014 2013 2012
Total revenues$43,279,095$38,924,368$31,905,220
Commission revenues$24,148,745$27,448,081$22,498,427
Fee revenues$17,336,612$10,099,558$8,278,326
Total revenues: Other$1,793,739$1,376,729$1,128,467
2014 2013 2012
Total account assets$6,629,467,666$7,608,172,050$6,236,206,599
Fee-based assets$1,501,312,321$1,472,551,636$1,207,009,538
Total account assets: Other$5,128,155,345$6,135,620,414$5,029,197,061
Average assets per rep$48,039,621$56,356,830$47,970,820
2014 2013 2012
Excess net capital$2,010,698$1,631,799$2,501,654
Total operating expenses$4,290,324$3,738,590$3,810,325
Pre-tax earnings$1,437,661$784,002$1,963,764
Number of active client accounts43,53936,79519,784
CEODavid W. Stringer
Allows advisers to use social media
Social media sites allowed
Dedicated mobile application for advisers?
Primary purpose of mobile application
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the BD Data Center, please contact InvestmentNews Data.

Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.

Advisers on the Move