0001541625-17-000019.txt : 20170719 0001541625-17-000019.hdr.sgml : 20170719 20170719135851 ACCESSION NUMBER: 0001541625-17-000019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170719 DATE AS OF CHANGE: 20170719 EFFECTIVENESS DATE: 20170719 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: 17972052 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 06-30-2017 06-30-2017 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

13F HOLDINGS REPORT 028-14903 N Sonia Biasatti 972-581-3046 Sonia Biasatti Dallas TX 07-19-2017 0 424 623383 false INFORMATION TABLE 2 secondquarter2017.inftab.xml 2Q 2017 FILING 3M COCOM88579Y1019694655SHSOLE0004655ABBOTT LABSCOM00282410077115971SHSOLE00015971ABBVIE INCCOM00287Y109657891414SHSOLE00091414ACCENTURE PLC IRELANDSHS CLASS AG1151C1016565329SHSOLE0005329ACTIVISION BLIZZARD INCCOM00507V1093245718SHSOLE0005718ADOBE SYS INCCOM00724F1012101493SHSOLE0001493ALEXANDRIA REAL ESTATE EQ INCOM015271109151912636SHSOLE00012636ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1023792689SHSOLE0002689ALLERGAN PLCSHSG0177J108205846SHSOLE000846ALLERGAN PLCPFD CONV SER AG0177J116203235SHSOLE000235ALLSTATE CORPCOM0200021012102373SHSOLE0002373ALPHABET INCCAP STK CL C02079K10716361801SHSOLE0001801ALPHABET INCCAP STK CL A02079K305854919SHSOLE000919ALPS ETF TRRIVERFRNT FLEX00162Q510183362437SHSOLE00062437ALPS ETF TRRIVERFRNT DYMC00162Q528219477657SHSOLE00077657ALPS ETF TRRIVERFRONT 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ETF4642874992741445SHSOLE0001445ISHARES TRCORE S&P MCP ETF4642875073862230SHSOLE0002230ISHARES TRNA TEC-SFTWR ETF4642875154383235SHSOLE0003235ISHARES TRPHLX SEMICND ETF4642875237085040SHSOLE0005040ISHARES TRCOHEN&STEER REIT4642875642492474SHSOLE0002474ISHARES TRGLOBAL 100 ETF4642875722102500SHSOLE0002500ISHARES TRU.S. CNSM SV ETF464287580265316192SHSOLE00016192ISHARES TRRUS 1000 GRW ETF4642876145314491SHSOLE0004491ISHARES TRRUS 2000 VAL ETF4642876304423759SHSOLE0003759ISHARES TRRUSSELL 2000 ETF464287655287020389SHSOLE00020389ISHARES TRRUSSELL 3000 ETF4642876892902029SHSOLE0002029ISHARES TRU.S. TECH ETF464287721302621680SHSOLE00021680ISHARES TRU.S. INDS ETF464287754366627887SHSOLE00027887ISHARES TRUS HLTHCARE ETF4642877628114895SHSOLE0004895ISHARES TRU.S. FINLS ETF464287788332130881SHSOLE00030881ISHARES TRU.S. ENERGY ETF4642877962948360SHSOLE0008360ISHARES TRCORE S&P SCP ETF4642878046319010SHSOLE0009010ISHARES TRNATIONAL MUN ETF4642884146595994SHSOLE0005994ISHARES TRINTL SEL DIV 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CORPCOM58013510111437466SHSOLE0007466MEDTRONIC PLCSHSG5960L1036437353SHSOLE0007353MERCK & CO INCCOM58933Y1056109559SHSOLE0009559METLIFE INCCOM59156R108162629532SHSOLE00029532MICROCHIP TECHNOLOGY INCCOM5950171043895043SHSOLE0005043MICROSOFT CORPCOM594918104262938268SHSOLE00038268MITEK SYS INCCOM NEW60671020051562400SHSOLE00062400MONDELEZ INTL INCCL A60920710545010449SHSOLE00010449MONSANTO CO NEWCOM61166W1016145200SHSOLE0005200MOUNTAIN PROV DIAMONDS INCCOM NEW62426E4024415000SHSOLE00015000NATIONAL FUEL GAS CO N JCOM636180101146926329SHSOLE00026329NATIONAL GRID PLCSPONSORED ADR NE6362744093856136SHSOLE0006136NETFLIX INCCOM64110L1063552381SHSOLE0002381NEW YORK MTG TR INCCOM PAR $.0264960450115524754SHSOLE00024754NEXTERA ENERGY INCCOM65339F1018956404SHSOLE0006404NIKE INCCL B654106103120520934SHSOLE00020934NORDSTROM INCCOM6556641003106545SHSOLE0006545NORFOLK SOUTHERN CORPCOM6558441084853986SHSOLE0003986NOVAN INCCOM66988N10610927272SHSOLE00027272NOVARTIS A GSPONSORED ADR66987V1096337683SHSOLE0007683NUSTAR ENERGY LPUNIT COM67058H102105722685SHSOLE00022685NUVEEN MUN VALUE FD INCCOM67092810010510575SHSOLE00010575NUVEEN PREFERRED SECURITIESCOM67072C10580478014SHSOLE00078014NVIDIA CORPCOM67066G1044353027SHSOLE0003027OMEGA HEALTHCARE INVS INCCOM68193610052516079SHSOLE00016079ONEOK INC NEWCOM6826801032895531SHSOLE0005531ONEOK PARTNERS LPUNIT LTD PARTN68268N1032524925SHSOLE0004925OPKO HEALTH INCCOM68375N1038813910SHSOLE00013910ORACLE CORPCOM68389X1052404839SHSOLE0004839PACKAGING CORP AMERCOM6951561096395740SHSOLE0005740PEPSICO INCCOM713448108152713237SHSOLE00013237PERMIAN BASIN RTY TRUNIT BEN INT71423610635140300SHSOLE00040300PFIZER INCCOM717081103122736799SHSOLE00036799PHILIP MORRIS INTL INCCOM7181721098537225SHSOLE0007225PHILLIPS 66COM7185461042953578SHSOLE0003578PIMCO ETF TRENHAN SHRT MA AC72201R833117311540SHSOLE00011540PIMCO ETF TRINTER MUN BD ACT72201R8662404507SHSOLE0004507PIMCO HIGH INCOME FDCOM SHS72201410716518893SHSOLE00018893PIONEER NAT RES COCOM7237871072931848SHSOLE0001848PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310577729568SHSOLE00029568PLAINS GP HLDGS L PLTD PARTNR INT A72651A20787833535SHSOLE00033535POWERSHARES ETF TR IIFDM HG YLD RAFI73936T557119562922SHSOLE00062922POWERSHARES ETF TR IIPFD PORTFOLIO73936T56523215325SHSOLE00015325POWERSHARES ETF TR IISOVEREIGN DEBT73936T5732287892SHSOLE0007892POWERSHARES ETF TR IIDWA TACT MLT73937B3993529127429SHSOLE000127429POWERSHARES ETF TR IIDWA TCTL SCTR73937B49828811522SHSOLE00011522POWERSHARES ETF TR IIPWRSHS SP500 LOW73937B654187246882SHSOLE00046882POWERSHARES ETF TR IIS&P500 LOW VOL73937B77930855694175SHSOLE000694175POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X15331756681714SHSOLE000681714POWERSHARES ETF TRUSTFINL PFD PTFL73935X2292515131653SHSOLE000131653POWERSHARES ETF TRUSTHI YLD EQ DVDN73935X302105762988SHSOLE00062988POWERSHARES ETF TRUSTTECH SECT PORT73935X34471115494SHSOLE00015494POWERSHARES ETF TRUSTFTSE US1500 SM73935X5672171831SHSOLE0001831POWERSHARES ETF TRUSTDYNM LRG CP VL73935X70851314159SHSOLE00014159POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1083234127561SHSOLE000127561POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q2073371197729SHSOLE000197729POWERSHARES ETF TRUST IIDWA SC MOMNT PTF73936Q744118727789SHSOLE00027789POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76990539129SHSOLE00039129POWERSHARES ETF TRUST IIKBW YIELD REIT73936Q8192376370SHSOLE0006370POWERSHARES QQQ TRUSTUNIT SER 173935A104831760681SHSOLE00060681PRAXAIR INCCOM74005P1044643500SHSOLE0003500PRICE T ROWE GROUP INCCOM74144T108143319315SHSOLE00019315PROCTER AND GAMBLE COCOM742718109116213325SHSOLE00013325PROSPECT CAPITAL CORPORATIONCOM74348T1021572193585SHSOLE000193585QUALCOMM INCCOM7475251032063744SHSOLE0003744QUEST DIAGNOSTICS INCCOM74834L1002091879SHSOLE0001879RAYTHEON COCOM NEW7551115073862382SHSOLE0002382RESEARCH FRONTIERS INCCOM7609111072419800SHSOLE00019800ROCKWELL AUTOMATION INCCOM7739031095283244SHSOLE0003244ROCKWELL COLLINS INCCOM7743411016566224SHSOLE0006224ROYAL DUTCH SHELL PLCSPON ADR B7802591075029230SHSOLE0009230ROYAL DUTCH SHELL PLCSPONS ADR A780259206136825758SHSOLE00025758RYDEX ETF TRUSTGUG S&P500 EQ WT78355W106216823540SHSOLE00023540RYDEX ETF TRUSTGUG S&P500 EQ WT78355W8334434100SHSOLE0004100SCANA CORP NEWCOM80589M1023505256SHSOLE0005256SCHLUMBERGER LTDCOM8068571083064646SHSOLE0004646SEABRIDGE GOLD INCCOM81191610519017414SHSOLE00017414SEADRILL LIMITEDSHSG7945E1051441440SHSOLE00041440SELECT SECTOR SPDR TRSBI MATERIALS81369Y100286853254SHSOLE00053254SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209346543909SHSOLE00043909SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308342562760SHSOLE00062760SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407470553130SHSOLE00053130SELECT SECTOR SPDR TRENERGY81369Y5063936081SHSOLE0006081SELECT SECTOR SPDR TRSBI INT-FINL81369Y6054983200533SHSOLE000200533SELECT SECTOR SPDR TRSBI INT-INDS81369Y704396458182SHSOLE00058182SELECT SECTOR SPDR TRTECHNOLOGY81369Y803325659804SHSOLE00059804SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886318561849SHSOLE00061849SENIOR HSG PPTYS TRSH BEN INT81721M10979939100SHSOLE00039100SHERWIN WILLIAMS COCOM824348106263750SHSOLE000750SIRIUS XM HLDGS INCCOM82968B1036512200SHSOLE00012200SNAP INCCL A83304A10630517608SHSOLE00017608SOUTHERN COCOM842587107184038754SHSOLE00038754SOUTHWEST AIRLS COCOM8447411083515541SHSOLE0005541SPDR DOW JONES INDL AVRG ETFUT SER 178467X109272112766SHSOLE00012766SPDR GOLD TRUSTGOLD SHS78463V1075955064SHSOLE0005064SPDR INDEX SHS FDSS&P INTL ETF78463X7722857284SHSOLE0007284SPDR INDEX SHS FDSDJ INTL RL ETF78463X86364416993SHSOLE00016993SPDR S&P 500 ETF TRTR UNIT78462F103965540006SHSOLE00040006SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107333110507SHSOLE00010507SPDR SER TRDORSEY WRGT FI78468R713262121029877SHSOLE0001029877SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359154931245SHSOLE00031245SPDR SERIES TRUSTBLOMBRG BRC INTR78464A3752096081SHSOLE0006081SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A4172717308SHSOLE0007308SPDR SERIES TRUSTBLOMBERG INTL TR78464A51639014222SHSOLE00014222SPDR SERIES TRUSTS&P TRANSN ETF78464A5322163900SHSOLE0003900SPDR SERIES TRUSTS&P METALS MNG78464A75581927431SHSOLE00027431SPDR SERIES TRUSTS&P DIVID ETF78464A7636687527SHSOLE0007527SPDR SERIES TRUSTS&P BIOTECH78464A8705627210SHSOLE0007210SPIRIT RLTY CAP INC NEWCOM84860W1027610270SHSOLE00010270STAG INDL INCCOM85254J10228210535SHSOLE00010535STARBUCKS CORPCOM8552441095128825SHSOLE0008825STRYKER CORPCOM8636671012111522SHSOLE0001522SUNCOR ENERGY INC NEWCOM8672241072719524SHSOLE0009524SYNOVUS FINL CORPCOM NEW87161C5012315168SHSOLE0005168SYSCO CORPCOM8718291072204388SHSOLE0004388TEXAS INSTRS INCCOM8825081044846293SHSOLE0006293TIER REIT INCCOM NEW88650V20857531364SHSOLE00031364TIME WARNER INCCOM NEW8873173034744667SHSOLE0004667TIPTREE INCCL A88822Q10331144077SHSOLE00044077TJX COS INC NEWCOM8725401092233136SHSOLE0003136TRANSOCEAN LTDREG SHSH8817H10017020952SHSOLE00020952TRITON INTL LTDCL AG9078F107181754857SHSOLE00054857TROVAGENE INCCOM NEW897238309156132225SHSOLE000132225TWITTER INCCOM90184L10231517580SHSOLE00017580UNION PAC CORPCOM9078181085845411SHSOLE0005411UNITED PARCEL SERVICE INCCL B9113121069008165SHSOLE0008165UNITED TECHNOLOGIES CORPCOM9130171098937324SHSOLE0007324UNITED THERAPEUTICS CORP DELCOM91307C1022772100SHSOLE0002100UNITEDHEALTH GROUP INCCOM91324P1027173856SHSOLE0003856URANIUM ENERGY CORPCOM9168961031912000SHSOLE00012000US BANCORP DELCOM NEW9029733042584963SHSOLE0004963V F CORPCOM91820410883714809SHSOLE00014809VANECK VECTORS ETF TRGOLD MINERS ETF92189F10627912785SHSOLE00012785VANECK VECTORS ETF TRJP MORGAN MKTS92189F49429815902SHSOLE00015902VANGUARD BD INDEX FD INCINTERMED TERM921937819172320510SHSOLE00020510VANGUARD BD INDEX FD INCSHORT TRM BOND921937827254831935SHSOLE00031935VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835357443873SHSOLE00043873VANGUARD INDEX FDSS&P 500 ETF SHS92290836314686643SHSOLE0006643VANGUARD INDEX FDSMCAP VL IDXVIP922908512267226124SHSOLE00026124VANGUARD INDEX FDSREIT ETF922908553153618794SHSOLE00018794VANGUARD INDEX FDSSM CP VAL ETF922908611150012303SHSOLE00012303VANGUARD INDEX FDSEXTEND MKT ETF922908652113711181SHSOLE00011181VANGUARD INDEX FDSGROWTH ETF9229087362051630SHSOLE0001630VANGUARD INDEX FDSSMALL CP ETF9229087512231663SHSOLE0001663VANGUARD INDEX FDSTOTAL STK MKT92290876911559329SHSOLE0009329VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427423935821SHSOLE0005821VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858139934494SHSOLE00034494VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4092683354SHSOLE0003354VANGUARD SCOTTSDALE FDSVNG RUS1000GRW92206C68011869822SHSOLE0009822VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7147627562SHSOLE0007562VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088444314659SHSOLE0004659VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385851112452SHSOLE00012452VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464067579692SHSOLE0009692VANGUARD WORLD FDMEGA GRWTH IND9219108163733731SHSOLE0003731VANGUARD WORLD FDSCONSUM DIS ETF92204A1083742662SHSOLE0002662VANGUARD WORLD FDSUTILITIES ETF92204A8769728576SHSOLE0008576VERIZON COMMUNICATIONS INCCOM92343V104300367764SHSOLE00067764VISA INCCOM CL A92826C8395435803SHSOLE0005803VODAFONE GROUP PLC NEWSPONSORED ADR92857W3082227748SHSOLE0007748WAL-MART STORES INCCOM931142103222529415SHSOLE00029415WASTE MGMT INC DELCOM94106L1094005446SHSOLE0005446WELLS FARGO CO NEWCOM949746101108119482SHSOLE00019482WHOLE FOODS MKT INCCOM9668371062696402SHSOLE0006402WINDSTREAM HLDGS INCCOM NEW97382A2004010642SHSOLE00010642WISDOMTREE TRUS DIVID EX FNCL97717W4062923552SHSOLE0003552WISDOMTREE TREUROPE HEDGED EQ97717X7012193516SHSOLE0003516YUM BRANDS INCCOM988498101161321906SHSOLE00021906