Full text of PROSPERA FINANCIAL SERVICES, INC.'s X-17A-5 filed 2025-09-05 (period 2025-06-30). 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, 2025** 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-5 PART Ill** FACING PAGE 0MB APPROVAL 0MB Number: 3235-0U3 Expires: Nov. 30, 2026 Estimated average burden hour.; per response: 12 SEC Fil£ NUMBER 8-28164 Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 07/01/2024 MM/DD/VY AND ENDING 06/30/2025 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: PROSPERA FINANCIAL SERVICES, INC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Securit y-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) **8. ACCOUNT ANT 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) OCTOBER 20, 2003 641 T" of **"""~ra,ion w•h PCAOBJI• a"""3bleJ FOR OFFICIAL USE ON LY** \* 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-5(e)(l)(ii), if applicable. 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}------------------------------------------------ #### OATH OR AFFIRMATION | I, TIM EDWARDS | swear (or affirm) that, to the best of my knowledge and belief, the | |-----------------------------------------------------------------------------|-----------------------------------------------------------------------------------| | financia l report pertaining to the fi…Read the full text as markdown