0001541625-17-000006.txt : 20170111 0001541625-17-000006.hdr.sgml : 20170111 20170111163704 ACCESSION NUMBER: 0001541625-17-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170111 DATE AS OF CHANGE: 20170111 EFFECTIVENESS DATE: 20170111 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: 17523279 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 12-31-2016 12-31-2016 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

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TRUSTFINL PFD PTFL73935X2292444135987SHSOLE000135987POWERSHARES ETF TRUSTFTSE US1500 SM73935X5672151867SHSOLE0001867POWERSHARES ETF TRUSTHI YLD EQ DVDN73935X302104261495SHSOLE00061495POWERSHARES ETF TRUSTTECH SECT PORT73935X34473418380SHSOLE00018380POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1082431111269SHSOLE000111269POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q2072640174539SHSOLE000174539POWERSHARES ETF TRUST IIDWA SC MOMNT PTF73936Q74492122808SHSOLE00022808POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76959825606SHSOLE00025606POWERSHARES QQQ TRUSTUNIT SER 173935A104424935697SHSOLE00035697POWERSHS DB MULTI SECT COMMDB BASE METALS73936B70523115343SHSOLE00015343POWERSHS DB MULTI SECT COMMDB ENERGY FUND73936B10123116971SHSOLE00016971PPL CORPCOM69351T10639211522SHSOLE00011522PRICE T ROWE GROUP INCCOM74144T10894012470SHSOLE00012470PROCTER AND GAMBLE COCOM742718109128215230SHSOLE00015230PROSPECT CAPITAL CORPORATIONCOM74348T1021511180360SHSOLE000180360PRUDENTIAL SHT DURATION HG YCOM74442F10735422850SHSOLE00022850QUALCOMM INCCOM7475251034677136SHSOLE0007136RAYTHEON COCOM NEW7551115075994097SHSOLE0004097RESEARCH FRONTIERS INCCOM7609111073719800SHSOLE00019800REYNOLDS AMERICAN INCCOM7617131062805040SHSOLE0005040ROYAL DUTCH SHELL PLCSPON ADR B7802591073956811SHSOLE0006811RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1065676502SHSOLE0006502RYDEX ETF TRUSTGUG S&P500 EQ WT78355W8334384400SHSOLE0004400SCANA CORP NEWCOM80589M1023935397SHSOLE0005397SCHLUMBERGER LTDCOM8068571085246240SHSOLE0006240SEABRIDGE GOLD INCCOM81191610538040457SHSOLE00040457SEADRILL LIMITEDSHSG7945E10514240500SHSOLE00040500SEAGATE TECHNOLOGY PLCSHSG7945M10790523707SHSOLE00023707SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407480258060SHSOLE00058060SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3083486720SHSOLE0006720SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209123417693SHSOLE00017693SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y506455960193SHSOLE00060193SELECT SECTOR SPDR TRSBI INT-FINL81369Y6054594196057SHSOLE000196057SELECT SECTOR SPDR TRSBI INT-INDS81369Y704475875910SHSOLE00075910SELECT SECTOR SPDR TRSBI MATERIALS81369Y100362671806SHSOLE00071806SELECT SECTOR SPDR TRTECHNOLOGY81369Y803464094803SHSOLE00094803SENIOR HSG PPTYS TRSH BEN INT81721M10974039100SHSOLE00039100SHERWIN WILLIAMS COCOM824348106268982SHSOLE000982SIRIUS XM HLDGS INCCOM82968B1035612200SHSOLE00012200SOUTHERN COCOM84258710764413096SHSOLE00013096SPDR DOW JONES INDL AVRG ETFUT SER 178467X10914717422SHSOLE0007422SPDR GOLD TRUSTGOLD SHS78463V10710359304SHSOLE0009304SPDR INDEX SHS FDSDJ INTL RL ETF78463X86349513650SHSOLE00013650SPDR INDEX SHS FDSS&P INTL ETF78463X77245012472SHSOLE00012472SPDR S&P 500 ETF TRTR UNIT78462F103781934840SHSOLE00034840SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10721146989SHSOLE0006989SPDR SER TRNUVEEN BRC MUNIC78468R7212364949SHSOLE0004949SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A3597738168126SHSOLE000168126SPDR SERIES TRUSTBLOMBRG BRC INTR78464A3755910173575SHSOLE000173575SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A4176526177722SHSOLE000177722SPDR SERIES TRUSTS&P BIOTECH78464A87071611495SHSOLE00011495SPDR SERIES TRUSTS&P BK ETF78464A79749011222SHSOLE00011222SPDR SERIES TRUSTS&P DIVID ETF78464A76396111219SHSOLE00011219SPDR SERIES TRUSTS&P METALS MNG78464A75583725772SHSOLE00025772SPDR SERIES TRUSTWELLS FG PFD ETF78464A2926180144147SHSOLE000144147SPECTRA ENERGY CORPCOM8475601093418166SHSOLE0008166SPIRE INCCOM84857L10192914376SHSOLE00014376SPIRIT RLTY CAP INC NEWCOM84860W10211210270SHSOLE00010270STARBUCKS CORPCOM85524410968912324SHSOLE00012324SYNOVUS FINL CORPCOM NEW87161C5012205313SHSOLE0005313SYSCO CORPCOM8718291072434388SHSOLE0004388TARGET CORPCOM87612E1064506220SHSOLE0006220TEVA PHARMACEUTICAL INDS LTDADR8816242092867786SHSOLE0007786TIER REIT INCCOM NEW88650V20887050026SHSOLE00050026TIPTREE FINL INCCL A88822Q10315625330SHSOLE00025330TRANSOCEAN LTDREG SHSH8817H10029119302SHSOLE00019302TRITON INTL LTDCL AG9078F10797454357SHSOLE00054357TROVAGENE INCCOM NEW897238309338147125SHSOLE000147125TWITTER INCCOM90184L10217410208SHSOLE00010208UNION PAC CORPCOM9078181082222156SHSOLE0002156UNITED PARCEL SERVICE INCCL B9113121064674062SHSOLE0004062UNITED STS COMMODITY INDEX FCOMM IDX FND91171710645611327SHSOLE00011327UNITED TECHNOLOGIES CORPCOM9130171095815247SHSOLE0005247UNITEDHEALTH GROUP INCCOM91324P1025893657SHSOLE0003657UNUM GROUPCOM91529Y1062285137SHSOLE0005137US BANCORP DELCOM NEW9029733042444770SHSOLE0004770V F CORPCOM91820410855510419SHSOLE00010419VANECK VECTORS ETF TRGOLD MINERS ETF92189F10639417599SHSOLE00017599VANECK VECTORS ETF TRJR GOLD MINERS E92189F791108829801SHSOLE00029801VANGUARD BD INDEX FD INCINTERMED TERM921937819183521984SHSOLE00021984VANGUARD BD INDEX FD INCSHORT TRM BOND921937827330541567SHSOLE00041567VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835141217440SHSOLE00017440VANGUARD INDEX FDSEXTEND MKT ETF922908652100610421SHSOLE00010421VANGUARD INDEX FDSMCAP VL IDXVIP922908512306030983SHSOLE00030983VANGUARD INDEX FDSREIT ETF922908553224426668SHSOLE00026668VANGUARD INDEX FDSS&P 500 ETF SHS92290836313696587SHSOLE0006587VANGUARD INDEX FDSSM CP VAL ETF922908611213317404SHSOLE00017404VANGUARD INDEX FDSTOTAL STK MKT9229087696235380SHSOLE0005380VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285889024331SHSOLE00024331VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427423065014SHSOLE0005014VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4095076379SHSOLE0006379VANGUARD SCOTTSDALE FDSSHTRM GVT BD ETF92206C1023295421SHSOLE0005421VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088443774417SHSOLE0004417VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385844211799SHSOLE00011799VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464066668789SHSOLE0008789VANGUARD WORLD FDMEGA GRWTH IND9219108163674208SHSOLE0004208VANGUARD WORLD FDSCONSUM DIS ETF92204A1082932266SHSOLE0002266VANGUARD WORLD FDSUTILITIES ETF92204A876124411612SHSOLE00011612VERIZON COMMUNICATIONS INCCOM92343V104382071180SHSOLE00071180VISA INCCOM CL A92826C8395026318SHSOLE0006318VODAFONE GROUP PLC NEWSPNSR ADR92857W30839015901SHSOLE00015901WALGREENS BOOTS ALLIANCE INCCOM9314271082072502SHSOLE0002502WAL-MART STORES INCCOM931142103164123730SHSOLE00023730WASTE MGMT INC DELCOM94106L1093855442SHSOLE0005442WELLS FARGO & CO NEWCOM94974610189216181SHSOLE00016181WINDSTREAM HLDGS INCCOM NEW97382A2008210467SHSOLE00010467WISDOMTREE TRDIV EX-FINL FD97717W4062843540SHSOLE0003540WISDOMTREE TRHIGH DIV FD97717W2085528202SHSOLE0008202YUM BRANDS INCCOM988498101104816535SHSOLE00016535