0001541625-18-000003.txt : 20180124 0001541625-18-000003.hdr.sgml : 20180124 20180123173425 ACCESSION NUMBER: 0001541625-18-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180124 DATE AS OF CHANGE: 20180123 EFFECTIVENESS DATE: 20180124 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Prospera Financial Services Inc CENTRAL INDEX KEY: 0001541625 IRS NUMBER: 751832551 STATE OF INCORPORATION: TX FISCAL YEAR END: 0612 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14903 FILM NUMBER: 18543574 BUSINESS ADDRESS: STREET 1: 5429 LBJ FREEWAY STREET 2: SUITE 400 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 972-531-3000 MAIL ADDRESS: STREET 1: 5429 LBJ FREEWAY STREET 2: SUITE 400 CITY: DALLAS STATE: TX ZIP: 75240 FORMER COMPANY: FORMER CONFORMED NAME: Prospera Financial Services DATE OF NAME CHANGE: 20120207 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001541625 XXXXXXXX 12-31-2017 12-31-2017 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

13F HOLDINGS REPORT 028-14903 N Sonia Biasatti 972-581-3000 Sonia Biasatti Dallas TX 01-23-2018 0 395 654569 false INFORMATION TABLE 2 fourthquarter2017.inftab.xml FOURTHQUARTER2017 3M COCOM88579Y1018813729SHSOLE0003729ABBOTT LABSCOM00282410090015642SHSOLE00015642ABBVIE INCCOM00287Y109852186556SHSOLE00086556ACCENTURE PLC IRELANDSHS CLASS AG1151C1018345344SHSOLE0005344ADOBE SYS INCCOM00724F1015823183SHSOLE0003183ADVANCED MICRO DEVICES INCCOM00790310729028240SHSOLE00028240ALEXANDRIA REAL ESTATE EQ INCOM015271109164412640SHSOLE00012640ALLERGAN PLCSHSG0177J1083261898SHSOLE0001898ALLSTATE CORPCOM0200021012412324SHSOLE0002324ALPHABET INCCAP STK CL C02079K10713881305SHSOLE0001305ALPHABET INCCAP STK CL A02079K305948891SHSOLE000891ALPS ETF TRRIVERFRNT FLEX00162Q510262678782SHSOLE00078782ALPS ETF TRRIVERFRNT DYMC00162Q5283403106233SHSOLE000106233ALPS ETF TRRIVERFRONT DYM00162Q536223090340SHSOLE00090340ALPS ETF TRRIVERFRONT UNC00162Q54495636634SHSOLE00036634ALPS ETF TRSPROTT JR 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ETF4642875722052200SHSOLE0002200ISHARES TRU.S. CNSM SV ETF464287580276215361SHSOLE00015361ISHARES TRRUS 1000 VAL ETF4642875985034036SHSOLE0004036ISHARES TRS&P MC 400GR ETF4642876062921331SHSOLE0001331ISHARES TRRUS 1000 GRW ETF4642876145864297SHSOLE0004297ISHARES TRRUS 2000 VAL ETF4642876305194092SHSOLE0004092ISHARES TRRUSSELL 2000 ETF4642876559386129SHSOLE0006129ISHARES TRRUSSELL 3000 ETF4642876896604153SHSOLE0004153ISHARES TRU.S. TECH ETF464287721316519337SHSOLE00019337ISHARES TRUS INDUSTRIALS464287754390526337SHSOLE00026337ISHARES TRUS HLTHCARE ETF4642877626203489SHSOLE0003489ISHARES TRU.S. FINLS ETF464287788298524957SHSOLE00024957ISHARES TRCORE S&P SCP ETF46428780489311609SHSOLE00011609ISHARES TRS&P SML 600 GWT4642878872841658SHSOLE0001658ISHARES TRMSCI ACWI ETF4642882574746438SHSOLE0006438ISHARES TRNATIONAL MUN ETF4642884144504074SHSOLE0004074ISHARES TRIBOXX HI YD ETF464288513136915640SHSOLE00015640ISHARES TRS&P US PFD STK4642886874516118747SHSOLE000118747ISHARES TRUS AER DEF ETF4642887606713545SHSOLE0003545ISHARES TRRUS TP200 VL ETF46428942054810320SHSOLE00010320ISHARES TRRUS TP200 GR ETF4642894384475969SHSOLE0005969ISHARES TRCONSER ALLOC ETF46428988381023331SHSOLE00023331ISHARES TRCORE HIGH DV ETF46429B6633583964SHSOLE0003964ISHARES TRMIN VOL EAFE ETF46429B6895166976SHSOLE0006976ISHARES TRMIN VOL USA ETF46429B697171032270SHSOLE00032270ISHARES TRUSA MOMENTUM FCT46432F3964834641SHSOLE0004641ISHARES TRCORE MSCI TOTAL46432F8346319743SHSOLE0009743ISHARES TRCORE MSCI EAFE46432F842105015557SHSOLE00015557JOHNSON & JOHNSONCOM478160104229016366SHSOLE00016366JOHNSON CTLS INTL PLCSHSG515021052616542SHSOLE0006542JPMORGAN CHASE & COCOM46625H100334631028SHSOLE00031028KIMBERLY CLARK CORPCOM4943681034053378SHSOLE0003378KINDER MORGAN INC DELCOM49456B10137219957SHSOLE00019957KKR & CO L P DELCOM UNITS48248M10241219561SHSOLE00019561KRANESHARES TRBOSERA MSCI CH50076740547913900SHSOLE00013900LAM RESEARCH CORPCOM5128071082451333SHSOLE0001333LEAR CORPCOM NEW5218652043071647SHSOLE0001647LIBERTY MEDIA CORPDEB 4.000%11/1530715AG61930000SHSOLE00030000LILLY ELI & COCOM5324571083874543SHSOLE0004543LOCKHEED MARTIN CORPCOM53983010915174690SHSOLE0004690LOWES COS INCCOM54866110795810320SHSOLE00010320LULULEMON ATHLETICA INCCOM55002110982210300SHSOLE00010300LYONDELLBASELL INDUSTRIES NSHS - A -N537451002131884SHSOLE0001884MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP559080106148720876SHSOLE00020876MARSH & MCLENNAN COS INCCOM5717481024585564SHSOLE0005564MASTERCARD INCORPORATEDCL A57636Q1043001936SHSOLE0001936MCDONALDS CORPCOM58013510115048704SHSOLE0008704MEDTRONIC PLCSHSG5960L1036818118SHSOLE0008118MERCK & CO INCCOM58933Y1055409556SHSOLE0009556METLIFE INCCOM59156R108142128043SHSOLE00028043MICROCHIP TECHNOLOGY INCCOM5950171042893143SHSOLE0003143MICRON TECHNOLOGY INCCOM59511210367714546SHSOLE00014546MICROSOFT CORPCOM594918104283032763SHSOLE00032763MITEK SYS INCCOM NEW60671020045050000SHSOLE00050000MONDELEZ INTL INCCL 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INCCOM70450Y1034205515SHSOLE0005515PEPSICO INCCOM713448108156513136SHSOLE00013136PERMIAN BASIN RTY TRUNIT BEN INT71423610635139600SHSOLE00039600PFIZER INCCOM717081103136037198SHSOLE00037198PHILIP MORRIS INTL INCCOM7181721096366068SHSOLE0006068PHILLIPS 66COM7185461044094034SHSOLE0004034PIMCO ETF TRACTIVE BD ETF72201R7752362225SHSOLE0002225PIMCO ETF TRENHAN SHRT MA AC72201R8335044967SHSOLE0004967PIMCO ETF TRINTER MUN BD ACT72201R8662915422SHSOLE0005422PIONEER NAT RES COCOM7237871072911662SHSOLE0001662PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310527513218SHSOLE00013218POWERSHARES ETF TR IIFDM HG YLD RAFI73936T55728715080SHSOLE00015080POWERSHARES ETF TR IIPFD PORTFOLIO73936T56535023626SHSOLE00023626POWERSHARES ETF TR IISOVEREIGN DEBT73936T5732548572SHSOLE0008572POWERSHARES ETF TR IIDWA TACT MLT73937B3993994148474SHSOLE000148474POWERSHARES ETF TR IIDWA TCTL SCTR73937B49835012251SHSOLE00012251POWERSHARES ETF TR IIPWRSHS SP500 LOW73937B654183143155SHSOLE00043155POWERSHARES ETF TR IIS&P500 LOW VOL73937B77933828709461SHSOLE000709461POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X15335032667234SHSOLE000667234POWERSHARES ETF TRUSTFINL PFD PTFL73935X2292609138303SHSOLE000138303POWERSHARES ETF TRUSTDYN BLDG CNSTR73935X66643612462SHSOLE00012462POWERSHARES ETF TRUSTDYNM LRG CP VL73935X70848712559SHSOLE00012559POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1083575126773SHSOLE000126773POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q2073938185199SHSOLE000185199POWERSHARES ETF TRUST IIDWA SC MOMNT PTF73936Q744167634390SHSOLE00034390POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76968929842SHSOLE00029842POWERSHARES ETF TRUST IIKBW YIELD REIT73936Q8192607340SHSOLE0007340POWERSHARES GLOBAL ETF FDS&P 500 BUYWRT73936G3082159965SHSOLE0009965POWERSHARES QQQ TRUSTUNIT SER 173935A1041067967577SHSOLE00067577PRAXAIR INCCOM74005P1044362745SHSOLE0002745PROCTER AND GAMBLE COCOM742718109161017543SHSOLE00017543PROSHARES TRS&P 500 DV ARIST74348A4672954585SHSOLE0004585PROSPECT CAPITAL CORPORATIONCOM74348T10240859800SHSOLE00059800PULTE GROUP INCCOM7458671012236606SHSOLE0006606QUALCOMM INCCOM7475251035378356SHSOLE0008356RAYTHEON COCOM NEW7551115072111118SHSOLE0001118RESEARCH FRONTIERS INCCOM7609111072219800SHSOLE00019800ROCKWELL AUTOMATION INCCOM7739031095072538SHSOLE0002538ROCKWELL COLLINS INCCOM7743411018836475SHSOLE0006475ROSS STORES INCCOM7782961033664532SHSOLE0004532ROYAL CARIBBEAN CRUISES LTDCOMV7780T1033402778SHSOLE0002778ROYAL DUTCH SHELL PLCSPON ADR B7802591076319019SHSOLE0009019ROYAL DUTCH SHELL PLCSPONS ADR A780259206190127665SHSOLE00027665RYDEX ETF TRUSTGUG S&P500 EQ WT78355W106215521041SHSOLE00021041RYDEX ETF TRUSTGUG S&P500 EQ WT78355W8334393625SHSOLE0003625SCANA CORP NEWCOM80589M1022375399SHSOLE0005399SCHLUMBERGER LTDCOM8068571082914106SHSOLE0004106SEABRIDGE GOLD INCCOM81191610519817782SHSOLE00017782SEADRILL LIMITEDSHSG7945E105931440SHSOLE00031440SELECT SECTOR SPDR TRSBI MATERIALS81369Y100194831240SHSOLE00031240SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209235928017SHSOLE00028017SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308242942847SHSOLE00042847SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407311830898SHSOLE00030898SELECT SECTOR SPDR TRENERGY81369Y50684511429SHSOLE00011429SELECT SECTOR SPDR TRSBI INT-FINL81369Y6053510124208SHSOLE000124208SELECT SECTOR SPDR TRSBI INT-INDS81369Y704338744172SHSOLE00044172SELECT SECTOR SPDR TRTECHNOLOGY81369Y803215632999SHSOLE00032999SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886198238568SHSOLE00038568SENIOR HSG PPTYS TRSH BEN INT81721M10961532100SHSOLE00032100SHERWIN WILLIAMS COCOM824348106226549SHSOLE000549SNYDERS-LANCE INCCOM8335511042004000SHSOLE0004000SOUTHERN COCOM84258710796120399SHSOLE00020399SOUTHWEST AIRLS COCOM8447411083395241SHSOLE0005241SPDR DOW JONES INDL AVRG ETFUT SER 178467X109453418169SHSOLE00018169SPDR GOLD TRUSTGOLD SHS78463V1078486819SHSOLE0006819SPDR INDEX SHS FDSEURO STOXX 5078463X20254013258SHSOLE00013258SPDR INDEX SHS FDSDJ INTL RL ETF78463X8633037423SHSOLE0007423SPDR S&P 500 ETF TRTR UNIT78462F103901833534SHSOLE00033534SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10732539376SHSOLE0009376SPDR SER TRDORSEY WRGT FI78468R713299531175449SHSOLE0001175449SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359164932500SHSOLE00032500SPDR SERIES TRUSTPORTFOLIO INTRMD78464A3752236530SHSOLE0006530SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A4172637137SHSOLE0007137SPDR SERIES TRUSTBLOMBERG INTL TR78464A5162037113SHSOLE0007113SPDR SERIES TRUSTS&P TRANSN ETF78464A5322644048SHSOLE0004048SPDR SERIES TRUSTS&P METALS MNG78464A75555915368SHSOLE00015368SPDR SERIES TRUSTS&P DIVID ETF78464A763142815106SHSOLE00015106SQUARE INCCL A85223410348612745SHSOLE00012745STAG INDL INCCOM85254J10228510725SHSOLE00010725STARBUCKS CORPCOM8552441095098738SHSOLE0008738STRYKER CORPCOM8636671012361522SHSOLE0001522SUNCOR ENERGY INC NEWCOM8672241073789903SHSOLE0009903SYSCO CORPCOM8718291072674388SHSOLE0004388TEXAS INSTRS INCCOM8825081046596131SHSOLE0006131TIER REIT INCCOM NEW88650V20840820127SHSOLE00020127TIME WARNER INCCOM NEW8873173032873101SHSOLE0003101TIPTREE INCCL A88822Q10322637948SHSOLE00037948TJX COS INC NEWCOM8725401093003945SHSOLE0003945TRACTOR SUPPLY COCOM8923561063584660SHSOLE0004660TRANSENTERIX INCCOM NEW89366M2015425000SHSOLE00025000TRANSOCEAN LTDREG SHSH8817H10016914852SHSOLE00014852TRAVELERS COMPANIES INCCOM89417E1092681996SHSOLE0001996TRITON INTL LTDCL AG9078F107214055142SHSOLE00055142TROVAGENE INCCOM NEW89723830946127350SHSOLE000127350UNION PAC CORPCOM9078181086714958SHSOLE0004958UNITED PARCEL SERVICE INCCL B911312106263121782SHSOLE00021782UNITED TECHNOLOGIES CORPCOM9130171099697489SHSOLE0007489UNITED THERAPEUTICS CORP DELCOM91307C1022401600SHSOLE0001600UNITEDHEALTH GROUP INCCOM91324P1026002708SHSOLE0002708V F CORPCOM9182041085297107SHSOLE0007107VALERO ENERGY CORP NEWCOM91913Y1002042178SHSOLE0002178VANECK VECTORS ETF TRGOLD MINERS ETF92189F10631713410SHSOLE00013410VANECK VECTORS ETF TRJR GOLD MINERS E92189F79148013806SHSOLE00013806VANGUARD BD INDEX FD INCINTERMED TERM92193781998911820SHSOLE00011820VANGUARD BD INDEX FD INCSHORT TRM BOND921937827226128594SHSOLE00028594VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835219226929SHSOLE00026929VANGUARD INDEX FDSS&P 500 ETF SHS92290836315936382SHSOLE0006382VANGUARD INDEX FDSMCAP VL IDXVIP922908512254722543SHSOLE00022543VANGUARD INDEX FDSREIT ETF922908553137016856SHSOLE00016856VANGUARD INDEX FDSSM CP VAL ETF922908611149811192SHSOLE00011192VANGUARD INDEX FDSLARGE CAP ETF9229086372802262SHSOLE0002262VANGUARD INDEX FDSEXTEND MKT ETF92290865210589390SHSOLE0009390VANGUARD INDEX FDSGROWTH ETF9229087363792644SHSOLE0002644VANGUARD INDEX FDSVALUE ETF9229087443082865SHSOLE0002865VANGUARD INDEX FDSSMALL CP ETF9229087513052047SHSOLE0002047VANGUARD INDEX FDSTOTAL STK MKT922908769160511556SHSOLE00011556VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285861112979SHSOLE00012979VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4092743454SHSOLE0003454VANGUARD SCOTTSDALE FDSVNG RUS1000GRW92206C680170512076SHSOLE00012076VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C71410519568SHSOLE0009568VANGUARD SPECIALIZED FUNDSDIV APP ETF9219088445295172SHSOLE0005172VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858105623162SHSOLE00023162VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406141616530SHSOLE00016530VANGUARD WORLD FDMEGA GRWTH IND9219108163603231SHSOLE0003231VANGUARD WORLD FDSCONSUM DIS ETF92204A1082421523SHSOLE0001523VANGUARD WORLD FDSINF TECH ETF92204A7025503239SHSOLE0003239VANGUARD WORLD FDSUTILITIES ETF92204A8767696710SHSOLE0006710VERIZON COMMUNICATIONS INCCOM92343V104352466717SHSOLE00066717VISA INCCOM CL A92826C8396976055SHSOLE0006055VMWARE INCCL A COM9285634022091601SHSOLE0001601WAL-MART STORES INCCOM931142103292629586SHSOLE00029586WASTE MGMT INC DELCOM94106L1092472808SHSOLE0002808WELLS FARGO CO NEWCOM949746101122619850SHSOLE00019850WINDSTREAM HLDGS INCCOM NEW97382A2002010239SHSOLE00010239WISDOMTREE TRUS QTLY DIV GRT97717X6692325608SHSOLE0005608YUM BRANDS INCCOM988498101165420242SHSOLE00020242