Full text of PROSPERA FINANCIAL SERVICES, INC.'s X-17A-5 filed 2021-09-28 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **PROSPERA FINANCIAL SERVICES, INC.** # **Statement of Financial Condition** **June 30, 2021** PUBLIC DOCUMENT Pursuant to Rule 17a-S(e)(3) under the Securities Exchange Act of 1934 {1}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ... ... 12.00 | SEC FILE NUMBER | |-----------------| | 8-28164 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 07/01/2020 | --------- | AND ENDING 06/30/2021 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|--------------------------------|--| | - | -<br>MM/DD /Y Y | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: PROSPERA FINANCIAL SERVICES, INC. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | 5429 LBJ FREEWAY, SUITE 750 | | | | | | | (No and S tree!) | | | | | DALLAS | TEXAS | | 75240 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>EDWARD KERN | | | 972-581-3023 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>BRAD A. KINDER, CPA | (Name - if individual, state last, first, middle name) | | | | | 815 PARKER SQUARE | FLOWER MOUND | | TEXAS<br>75028 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>I<br>a<br>✓<br>certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | *must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17a-5 (e)(2)* SEC 1410 (06-02) **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}---------------------…Read the full text as markdown