Full text of PROSPERA FINANCIAL SERVICES, INC.'s X-17A-5 filed 2023-08-31 (period 2023-06-30). 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, 2023** **PUBLIC DOCUMENT** Pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 28164 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **07/01/2022** MM/DD/VY AND ENDING **06/30/2023** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: PROSPERA FINANCIAL SERVICES, INC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant 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 | | | | | | BRAD A. KINDER, CPA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 815 PARKER SQUARE | FLOWER MOUND | TEXAS | 75028 | | | |-------------------------------------------------|------------------------|---------|------------|--|--| | (Address) | (City) | (State) | (Zip Code) | | | | OCTOBER 20, 2003 | 641 | | | | | | rte<br>of RegOtratloo w;th PCAOBJ{;f appHcable) | | | | | | | | FOR OFFICIAL USE ONL V | | | | | | | | | | | | \* 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 applicable. Persons who are to respond to the collection of information co…Read the full text as markdown