Full text of PROSPERA FINANCIAL SERVICES, INC.'s X-17A-5 filed 2022-09-26 (period 2022-06-30). 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, 2022** PUBLIC DOCUMENT Pursuant to Rule 17a-S(e)(3) under the Securities Exchange Act of 1934 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB Number: 3235-0123 | | |--------------------------|----| | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | | | | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | | 28164 0MB APPROVAL **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **07/01/2021** MM/DD/YY AND ENDING **06/30/2022** MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: PROSPERA FINANCIAL SERVICES, INC TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 5429 LBJ FREEWAY, SUITE 750 | (No. and Street) | | | | | | | |----------------------------------------------|--------------|-------------------------------|--|--|--|--| | DALLAS | TEXAS | 75240 | | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | EDWARD KERN | 972-581-3023 | ed.kern@prosperafinancial.com | | | | | (Name) (Area Code - Telephone Number) (Email Address) #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ## BRAD A. KINDER, CPA (Name - if individual, state last, first, and middle name) | 815 PARKER SQUARE | FLOWER MOUND | TEXAS | 75028 | |-------------------------------------------|-----------------------|---------|-----------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | T"<br>OCTOBER 20, 2003 | | 641 | | | of Reg;stratioe w;th PCAOB)l;f appll~ble) | | | I<br>(PCAOB Regfat,adoo N,mbe,, ;r appll~ble) | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applica…Read the full text as markdown