Prospera Financial Services Inc.

5429 LBJ Freeway, Suite 400

Dallas, TX 75240

(972) 581-3000

Year founded: 1982

Year end: Dec. 31

No. of retail offices: 78

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2009-2011 recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless otherwise noted.

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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
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
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
Offers an RIA platform
Type offered
Total AUM within RIA platform
Retail accounts
Advisory accounts
Other types of accounts
Other types of accounts (specified)

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Recruitment & Staffing

	2011	2010	2009
No. of reps	125	107	100
No. of producing reps	115	106	100
No. of reps producing $100K-$499K /year	99	90	80

Payout Grid

	$0-$249,999	$250K-$499,999	$500K-$749,999	$750K-$999,999	$1,000,000+
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Required minimum production			Subscribe

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Revenue Breakdown

	2011	2010	2009
Total revenues	$30,765,761	$23,594,449	$21,800,000
Commission revenues	$21,694,921	$15,845,798	$15,800,000
Fee revenues	$7,982,675	$6,655,808	$5,000,000
Total revenues: Other	$1,088,165	$1,092,843	$1,000,000

Assets Breakdown

	2011	2010	2009
Total account assets	$3,077,940,328	$3,000,000,000	$2,630,000,000
Fee-based assets	$735,849,648	$680,000,000	$630,000,000
Total account assets: Other	$2,342,090,680	$2,320,000,000	$2,000,000,000
Average assets per rep	$24,623,523	$28,037,383	$26,300,000

Other Financials

	2011	2010	2009
Excess net capital	$1,660,095	$1,500,000	$1,300,000
Total Operating expenses	$3,109,240	$4,104,705	$3,723,000
Pre-tax earnings	$580,474	$848,467	$750,000
Number of active client accounts	18,219	15,230	—

RIA platform

CEO	David W. Stringer

Technology

Allows advisers to use social media	Y

Allows advisers to use social media

Notes

N/A = Not available
N/D = Not disclosed
— = Information not available or not disclosed

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