# PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC. of DALLAS, TX is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 10740
- Type: SEC-registered investment adviser
- SEC file number: 801-65845
- Location: 5429 LBJ FREEWAY, SUITE 750, DALLAS, TX, 75240
- Phone: 972-581-3000
- Latest filing: 2025-09-30
- Regulatory AUM: $12.4B
- Discretionary AUM: $8.4B
- Non-discretionary AUM: $4.1B
- Clients: 333
- Accounts: 29,500

## Business model

- Compensation: % of AUM, Hourly, Fixed, Performance, Commissions, Other
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos

## Officers, owners & control persons (16)

| Name | Role | Location |
| --- | --- | --- |
| Williams Elizabeth | CHIEF OPERATIONS OFFICER; COO; PRESIDENT, CHIEF OPERATING OFFICER | Croton on Hudson, NY |
| Tim Alan Edwards | CO-CEO; SHARE HOLDER | — |
| Richard Dean Pascuzzi | EXECUTIVE VICE PRESIDENT, SECRETARY; SHARE HOLDER | — |
| David Walter Stringer | CO-CEO; SHARE HOLDER | — |
| Edward Kern | CHIEF FINANCIAL OFFICER | — |
| Tarah Elizabeth Williams | PRESIDENT, CHIEF OPERATING OFFICER | — |
| Shawn Baxter | CHIEF COMPLIANCE OFFICER | — |
| EDWARDS TIM ALAN | CO-CEO; EXECUTIVE VICE PRESIDENT; SHARE HOLDER (+1 more) | — |
| PASCUZZI RICHARD DEAN | EXECUTIVE VICE PRESIDENT & SECRETARY; EXECUTIVE VICE PRESIDENT, SECRETARY; SECRETARY & VICE PRESIDENT (+2 more) | — |
| STRINGER DAVID WALTER | CHIEF COMPLIANCE OFFICER; CO-CEO; PRESIDENT & TREASURER (+2 more) | — |
| GARCIA ABEL JR | CCO; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & SENIOR VICE PRESIDENT - RISK MANAGEMENT (+1 more) | — |
| COULTER ROBERT VINCENT | CHIEF COMPLIANCE OFFICER | — |
| HALE ELIZABETH ANNE | PRINCIPAL OPERATIONS OFFICER | — |
| KERN EDWARD | CHIEF FINANCIAL OFFICER | — |
| WEST JOHN PATRICK | CHIEF OPERATING OFFICER | — |
| BAXTER SHAWN | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (33)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2016-08-25 | regulatory | IA RELEASE 40-4498 / AUGUST 25, 2016: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE THAT CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AGAINST RESPONDENT ("RESPONDENT"). ON T… | Final | $100K |
| 2015-06-03 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TRANSMIT 32,636 REPORTABLE EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS) ON 140 BUSINESS DAYS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE F… | Final | $13K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |


## Branch offices (25)

_Showing 15 of 25 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| METAIRIE | LA | 12 | 504-524-5431 |
| BALLWIN | MO | 9 | 6365378770 |
| HURST | TX | 8 | (817) 788-9000 |
| DALLAS | TX | 5 | 972-581-3039 |
| BEND | OR | 5 | (541) 633-7874 |
| MEMPHIS | TN | 5 | 901-723-4100 |
| REDLANDS | CA | 4 | 909-557-2800 |
| TYLER | TX | 4 | 214-727-1800 |
| HARRISBURG | PA | 4 | (717) 232-6974 |
| MANDEVILLE | LA | 3 | 985-674-9120 |
| O'FALLON | MO | 3 | 636-978-8770 |
| DAYTON | OH | 3 | 937-890-5093 |
| BELMONT | NC | 3 | 704-865-2900 |
| CLARKSTON | MI | 3 | 248-625-9800 |
| KNOXVILLE | TN | 3 | 865-415-2055 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/10740/brochure
- Similar advisers: https://search.stillhousedata.com/firm/10740/similar
- Related entities: https://search.stillhousedata.com/firm/10740/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/10740

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.