0001541625-15-000010.txt : 20151016 0001541625-15-000010.hdr.sgml : 20151016 20151016105538 ACCESSION NUMBER: 0001541625-15-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151016 DATE AS OF CHANGE: 20151016 EFFECTIVENESS DATE: 20151016 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Prospera Financial Services 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: 151161374 BUSINESS ADDRESS: STREET 1: 5429 LBJ FREEWAY STREET 2: SUITE 400 CITY: DALLAS STATE: TX ZIP: 75420 BUSINESS PHONE: 972-531-3000 MAIL ADDRESS: STREET 1: 5429 LBJ FREEWAY STREET 2: SUITE 400 CITY: DALLAS STATE: TX ZIP: 75420 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001541625 XXXXXXXX 09-30-2015 09-30-2015 Prospera Financial Services

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75420

13F HOLDINGS REPORT 028-14903 N Sonia Biasatti 972-581-3046 Sonia Biasatti DalLAS TX 10-16-2015 0 289 395318 false INFORMATION TABLE 2 thirdqtr2015.inftab.xml 3M COCOM88579Y1014163237SHSOLE0003237ABBOTT LABSCOM0028241003368361SHSOLE0008361ABBVIE INCCOM00287Y10969813229SHSOLE00013229ACADIA PHARMACEUTICALS INCCOM00422510840012100SHSOLE00012100ACCENTURE PLC IRELANDSHS CLASS AG1151C1012572614SHSOLE0002614AGL RES INCCOM0012041062363870SHSOLE0003870ALPS ETF TRALERIAN MLP00162Q8662526202433SHSOLE000202433ALTRIA GROUP INCCOM02209S103449982706SHSOLE00082706AMAZON COM INCCOM02313510611952553SHSOLE0002553AMERICAN CAPITAL AGENCY CORPCOM02503X10518710000SHSOLE00010000AMERICAN TOWER CORP NEWCOM03027X1003203639SHSOLE0003639ANHEUSER BUSCH INBEV SA/NVSPONSORED ADR03524A1082262130SHSOLE0002130APPLE INCCOM037833100513849175SHSOLE00049175ARES CAP CORPNOTE 5.125% 6/004010LAD52020000SHSOLE00020000ARROW ETF TRARROW DJ GLB YLD04273H10494249078SHSOLE00049078ASTROTECH CORPCOM04648410116981726SHSOLE00081726AT&T 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ET46428722612153110904SHSOLE000110904ISHARES TRDOW JONES US ETF4642878469429764SHSOLE0009764ISHARES TRIBONDS DEC 2146435G7892038000SHSOLE0008000ISHARES TRIBONDS SEP202046434V5712048000SHSOLE0008000ISHARES TRIBOXX HI YD ETF464288513292635125SHSOLE00035125ISHARES TRIBOXX INV CP ETF4642872425344602SHSOLE0004602ISHARES TRINTERM CR BD ETF4642886386465945SHSOLE0005945ISHARES TRMSCI EAFE ETF464287465118320636SHSOLE00020636ISHARES TRMSCI PHILIPS ETF46429B40883324215SHSOLE00024215ISHARES TRNAT AMT FREE BD4642884149268455SHSOLE0008455ISHARES TRRUS 1000 GRW ETF4642876145235624SHSOLE0005624ISHARES TRRUS 1000 VAL ETF4642875983473725SHSOLE0003725ISHARES TRRUSSELL 2000 ETF4642876552222036SHSOLE0002036ISHARES TRRUSSELL 3000 ETF4642876892312029SHSOLE0002029ISHARES TRS&P 100 ETF4642871012502948SHSOLE0002948ISHARES TRS&P 500 GRWT ETF4642873095855427SHSOLE0005427ISHARES TRS&P 500 VAL ETF4642874085416443SHSOLE0006443ISHARES TRS&P MC 400GR ETF4642876063382151SHSOLE0002151ISHARES TRS&P MC 400VL 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AMERCOM6951561092494137SHSOLE0004137PEPSICO INCCOM71344810897310518SHSOLE00010518PERMIAN BASIN RTY TRUNIT BEN INT71423610631050800SHSOLE00050800PFIZER INCCOM71708110382126142SHSOLE00026142PHILIP MORRIS INTL INCCOM7181721096528224SHSOLE0008224PHILLIPS 66COM7185461045247021SHSOLE0007021PIMCO DYNAMIC CR INCOME FDCOM SHS72202D10632918000SHSOLE00018000PIMCO ETF TRENHAN SHRT MA AC72201R8332542520SHSOLE0002520PIONEER NAT RES COCOM7237871072011656SHSOLE0001656PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN726503105189662403SHSOLE00062403POWERSHARES ETF TR IIEM MRK LOW VOL73937B66237918050SHSOLE00018050POWERSHARES ETF TR IIINTL DEV LOWVL73937B68848317552SHSOLE00017552POWERSHARES ETF TR IIS&P500 LOW VOL73937B77928087781064SHSOLE000781064POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X15326240653406SHSOLE000653406POWERSHARES ETF TRUSTDYNM LRG CP VL73935X70846716678SHSOLE00016678POWERSHARES ETF TRUSTFINL PFD PTFL73935X2292125116363SHSOLE000116363POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1082695119969SHSOLE000119969POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q2072431158237SHSOLE000158237POWERSHARES ETF TRUST IIDWA SC MOMNT PTF73936Q74452514100SHSOLE00014100POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76947820752SHSOLE00020752POWERSHARES QQQ TRUSTUNIT SER 173935A104124212204SHSOLE00012204PPL CORPCOM69351T10639311957SHSOLE00011957PROCTER & GAMBLE COCOM74271810992513412SHSOLE00013412PROSHARES TRPSHS SH MSCI EMR74347R39640013380SHSOLE00013380PROSHARES TRPSHS ULT S&P 50074347R107136124485SHSOLE00024485PROSPECT CAPITAL CORPORATIONCOM74348T1021412197972SHSOLE000197972PROSPECT CAPITAL CORPORATIONNOTE 5.500% 8/174348TAD4267262000SHSOLE000262000RESEARCH FRONTIERS INCCOM7609111077114100SHSOLE00014100REYNOLDS AMERICAN INCCOM7617131062515668SHSOLE0005668ROYAL DUTCH SHELL PLCSPON ADR B7802591072344926SHSOLE0004926RYANAIR HLDGS PLCSPONSORED ADR7835131042713455SHSOLE0003455RYDEX ETF TRUSTGUG S&P500 EQ WT78355W10692612589SHSOLE00012589SANOFISPONSORED 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SERIES TRUSTINTR TRM CORP BD78464A3756727198143SHSOLE000198143SPDR SERIES TRUSTNUVN BRCLY MUNI78464A4587118295241SHSOLE000295241SPDR SERIES TRUSTS&P DIVID ETF78464A7636979658SHSOLE0009658SPECTRA ENERGY CORPCOM8475601092268608SHSOLE0008608STAPLES INCCOM85503010219918465SHSOLE00018465STARBUCKS CORPCOM85524410953111406SHSOLE00011406SUNEDISON INCCOM86732Y1097210000SHSOLE00010000SYSCO CORPCOM871829107163741994SHSOLE00041994TARGET CORPCOM87612E1064436025SHSOLE0006025TIER REIT INCCOM NEW88650V20886458685SHSOLE00058685TIPTREE FINL INCCL A88822Q10347674344SHSOLE00074344TOWERSTREAM CORPCOM8920001002220500SHSOLE00020500TRANSOCEAN LTDREG SHSH8817H10017813747SHSOLE00013747TROVAGENE INCCOM NEW897238309813142800SHSOLE000142800UNDER ARMOUR INCCL A9043111074234371SHSOLE0004371UNITED PARCEL SERVICE INCCL B9113121068038135SHSOLE0008135UNITED RENTALS INCCOM9113631092283800SHSOLE0003800UNITED TECHNOLOGIES CORPCOM9130171093624068SHSOLE0004068UNITEDHEALTH GROUP INCCOM91324P1022892494SHSOLE0002494V F CORPCOM9182041085908654SHSOLE0008654VANGUARD BD INDEX FD INCSHORT TRM BOND921937827350443591SHSOLE00043591VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378352763369SHSOLE0003369VANGUARD INDEX FDSEXTEND MKT ETF9229086525596851SHSOLE0006851VANGUARD INDEX FDSMCAP VL IDXVIP922908512257530938SHSOLE00030938VANGUARD INDEX FDSREIT ETF922908553234030979SHSOLE00030979VANGUARD INDEX FDSS&P 500 ETF SHS9229083633532011SHSOLE0002011VANGUARD INDEX FDSSM CP VAL ETF922908611171817737SHSOLE00017737VANGUARD INDEX FDSTOTAL STK MKT9229087693153193SHSOLE0003193VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285856317004SHSOLE00017004VANGUARD NAT RES LLCCOM UNIT92205F10611715364SHSOLE00015364VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4094225289SHSOLE0005289VANGUARD SCOTTSDALE FDSSHTRM GVT BD ETF92206C10285513971SHSOLE00013971VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088442122880SHSOLE0002880VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385892926070SHSOLE00026070VANGUARD WHITEHALL FDS INCHIGH DIV 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