0001541625-16-000039.txt : 20161012 0001541625-16-000039.hdr.sgml : 20161012 20161012145641 ACCESSION NUMBER: 0001541625-16-000039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161012 DATE AS OF CHANGE: 20161012 EFFECTIVENESS DATE: 20161012 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: 161933094 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 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 09-30-2016 09-30-2016 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75420

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INCCOM74144T1082003001SHSOLE0003001PROCTER AND GAMBLE COCOM742718109138315407SHSOLE00015407PROSHARES TRSHORT S&P 500 NE74347B4253198372SHSOLE0008372PROSPECT CAPITAL CORPORATIONCOM74348T1021490183960SHSOLE000183960PRUDENTIAL SHT DURATION HG YCOM74442F10736322695SHSOLE00022695QUALCOMM INCCOM7475251036108900SHSOLE0008900RAYTHEON COCOM NEW7551115074233101SHSOLE0003101RESEARCH FRONTIERS INCCOM7609111075119800SHSOLE00019800REYNOLDS AMERICAN INCCOM7617131062104462SHSOLE0004462ROYAL DUTCH SHELL PLCSPON ADR B7802591073366353SHSOLE0006353ROYAL DUTCH SHELL PLCSPONS ADR A7802592062084163SHSOLE0004163RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1064525402SHSOLE0005402SANOFIRIGHT 12/31/202080105N113520000SHSOLE00020000SCANA CORP NEWCOM80589M1023274515SHSOLE0004515SCHLUMBERGER LTDCOM8068571085106478SHSOLE0006478SEABRIDGE GOLD INCCOM81191610544640457SHSOLE00040457SEADRILL LIMITEDSHSG7945E1054518857SHSOLE00018857SEAGATE TECHNOLOGY PLCSHSG7945M10788122860SHSOLE00022860SELECT SECTOR SPDR TRSBI MATERIALS81369Y100225047121SHSOLE00047121SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209247534325SHSOLE00034325SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308526598953SHSOLE00098953SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407396049477SHSOLE00049477SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y506273638746SHSOLE00038746SELECT SECTOR SPDR TRSBI INT-FINL81369Y605111557768SHSOLE00057768SELECT SECTOR SPDR TRSBI INT-INDS81369Y704237940745SHSOLE00040745SELECT SECTOR SPDR TRTECHNOLOGY81369Y803262855002SHSOLE00055002SELECT SECTOR SPDR TRRL EST SEL SEC81369Y8602617968SHSOLE0007968SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886238948766SHSOLE00048766SENIOR HSG PPTYS TRSH BEN INT81721M10988138800SHSOLE00038800SHERWIN WILLIAMS COCOM8243481063311197SHSOLE0001197SILVER WHEATON CORPCOM8283361072439002SHSOLE0009002SIRIUS XM HLDGS INCCOM82968B1035112200SHSOLE00012200SOUTHERN COCOM842587107225043852SHSOLE00043852SPDR DOW JONES INDL AVRG ETFUT SER 178467X1094522473SHSOLE0002473SPDR GOLD TRUSTGOLD SHS78463V10712069599SHSOLE0009599SPDR INDEX SHS FDSDJ INTL RL ETF78463X86356813616SHSOLE00013616SPDR S&P 500 ETF TRTR UNIT78462F103426219693SHSOLE00019693SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1078132878SHSOLE0002878SPDR SER TRNUVN BRCLY MUNI78468R7212935848SHSOLE0005848SPDR SERIES TRUSTWELLS FG PFD ETF78464A2927161157460SHSOLE000157460SPDR SERIES TRUSTBRC CNV SECS ETF78464A3598427181783SHSOLE000181783SPDR SERIES TRUSTBRCLY EM LOCL78464A3917020247797SHSOLE000247797SPDR SERIES TRUSTBRC HGH YLD BD78464A4173168610SHSOLE0008610SPDR SERIES TRUSTBRCLYS LG TRS ET78464A664722191341SHSOLE00091341SPDR SERIES TRUSTS&P DIVID ETF78464A763106612633SHSOLE00012633SPECTRA ENERGY CORPCOM84756010945210578SHSOLE00010578SPRINT CORPCOM SER 185207U1059915000SHSOLE00015000SPROTT PHYSICAL GOLD TRUSTUNIT85207H10412611466SHSOLE00011466STARBUCKS CORPCOM85524410971313172SHSOLE00013172SYSCO CORPCOM8718291073557251SHSOLE0007251TARGET CORPCOM87612E1064586663SHSOLE0006663TIER REIT INCCOM NEW88650V20877950429SHSOLE00050429TIPTREE FINL INCCL A88822Q10318130545SHSOLE00030545TRANSOCEAN LTDREG SHSH8817H10020619332SHSOLE00019332TRITON INTL LTDCL AG9078F10770153167SHSOLE00053167TROVAGENE INCCOM NEW897238309679151125SHSOLE000151125UNDER ARMOUR INCCL A9043111072757101SHSOLE0007101UNION PAC CORPCOM9078181082052098SHSOLE0002098UNITED PARCEL SERVICE INCCL B9113121068938162SHSOLE0008162UNITED STATES NATL GAS FUNDUNIT PAR $0.00191231820159671270SHSOLE00071270UNITED STATES OIL FUND LPUNITS91232N10838535200SHSOLE00035200UNITED STS COMMODITY INDEX FCOMM IDX FND91171710654213064SHSOLE00013064UNITED TECHNOLOGIES CORPCOM9130171095305216SHSOLE0005216UNITEDHEALTH GROUP INCCOM91324P1025013577SHSOLE0003577URANIUM ENERGY CORPCOM9168961031010000SHSOLE00010000US BANCORP DELCOM NEW9029733042094867SHSOLE0004867V F CORPCOM9182041085249339SHSOLE0009339VANECK VECTORS ETF TRGOLD MINERS ETF92189F10627110265SHSOLE00010265VANECK VECTORS ETF TRJP MORGAN MKTS92189F49421811416SHSOLE00011416VANECK VECTORS ETF TRJR GOLD MINERS E92189F79161413872SHSOLE00013872VANGUARD BD INDEX FD INCINTERMED TERM921937819185521161SHSOLE00021161VANGUARD BD INDEX FD INCSHORT TRM BOND921937827333141207SHSOLE00041207VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835115713744SHSOLE00013744VANGUARD INDEX FDSS&P 500 ETF SHS9229083636123081SHSOLE0003081VANGUARD INDEX FDSMCAP VL IDXVIP922908512295831595SHSOLE00031595VANGUARD INDEX FDSREIT ETF922908553232826813SHSOLE00026813VANGUARD INDEX FDSSM CP VAL ETF922908611197617840SHSOLE00017840VANGUARD INDEX FDSMID CAP ETF9229086292592000SHSOLE0002000VANGUARD INDEX FDSLARGE CAP ETF9229086375805850SHSOLE0005850VANGUARD INDEX FDSEXTEND MKT ETF9229086526487100SHSOLE0007100VANGUARD INDEX FDSTOTAL STK MKT9229087696285636SHSOLE0005636VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427423055014SHSOLE0005014VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285879821178SHSOLE00021178VANGUARD NAT RES LLCCOM UNIT92205F1061112495SHSOLE00012495VANGUARD SCOTTSDALE FDSSHTRM GVT BD ETF92206C10273912071SHSOLE00012071VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409113214051SHSOLE00014051VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088443333965SHSOLE0003965VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385884222516SHSOLE00022516VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464066028343SHSOLE0008343VANGUARD WORLD FDMEGA GRWTH IND9219108163744278SHSOLE0004278VANGUARD WORLD FDSCONSUM DIS ETF92204A1083372683SHSOLE0002683VANGUARD WORLD FDSCONSUM STP ETF92204A2073842802SHSOLE0002802VANGUARD WORLD FDSHEALTH CAR ETF92204A5043522651SHSOLE0002651VANGUARD WORLD FDSUTILITIES ETF92204A876118211025SHSOLE00011025VERIZON COMMUNICATIONS INCCOM92343V104377672645SHSOLE00072645VISA INCCOM CL A92826C8396537890SHSOLE0007890VODAFONE GROUP PLC NEWSPNSR ADR92857W30839813651SHSOLE00013651WAL-MART STORES INCCOM931142103112515592SHSOLE00015592WASTE MGMT INC DELCOM94106L1093195005SHSOLE0005005WELLS FARGO & CO NEWCOM94974610171916232SHSOLE00016232WESTROCK COCOM96145D1052495139SHSOLE0005139WISDOMTREE TRFUTRE STRAT FD97717W1254029550SHSOLE0009550WISDOMTREE TRHIGH DIV FD97717W2083395097SHSOLE0005097WISDOMTREE TRDIV EX-FINL FD97717W4062783533SHSOLE0003533XENITH BANKSHARES INC NEWCOM9841021033917036SHSOLE00017036YUM BRANDS INCCOM9884981012632898SHSOLE0002898