0001541625-17-000023.txt : 20171011 0001541625-17-000023.hdr.sgml : 20171011 20171011113929 ACCESSION NUMBER: 0001541625-17-000023 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171011 DATE AS OF CHANGE: 20171011 EFFECTIVENESS DATE: 20171011 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: 171132083 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 09-30-2017 09-30-2017 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

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CORPCOM666807102219756SHSOLE000756NOVAN INCCOM66988N10615728166SHSOLE00028166NOVARTIS A GSPONSORED ADR66987V1096587653SHSOLE0007653NUSTAR ENERGY LPUNIT COM67058H10290422285SHSOLE00022285NUVEEN PFD & INCM SECURTIESCOM67072C10582579164SHSOLE00079164NVIDIA CORPCOM67066G104235513027SHSOLE00013027O REILLY AUTOMOTIVE INC NEWCOM67103H1076262950SHSOLE0002950OFFICE DEPOT INCCOM6762201065815346SHSOLE00015346OMEGA HEALTHCARE INVS INCCOM68193610058518425SHSOLE00018425ONEOK INC NEWCOM68268010359410703SHSOLE00010703OPKO HEALTH INCCOM68375N1039513710SHSOLE00013710ORACLE CORPCOM68389X1053206564SHSOLE0006564PACKAGING CORP AMERCOM6951561096695833SHSOLE0005833PEPSICO INCCOM713448108161414604SHSOLE00014604PERMIAN BASIN RTY TRUNIT BEN INT71423610639044800SHSOLE00044800PFIZER INCCOM717081103127435517SHSOLE00035517PHILIP MORRIS INTL INCCOM7181721097546779SHSOLE0006779PHILLIPS 66COM7185461043303590SHSOLE0003590PIMCO ETF TRENHAN SHRT MA AC72201R833112711073SHSOLE00011073PIMCO ETF TRINTER MUN BD ACT72201R8662474604SHSOLE0004604PIMCO HIGH INCOME FDCOM SHS72201410715919137SHSOLE00019137PIONEER NAT RES COCOM7237871072601735SHSOLE0001735PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310561629068SHSOLE00029068PLAINS GP HLDGS L PLTD PARTNR INT A72651A20769231658SHSOLE00031658POWERSHARES ETF TR IIFDM HG YLD RAFI73936T557116160819SHSOLE00060819POWERSHARES ETF TR IIPFD PORTFOLIO73936T56528518952SHSOLE00018952POWERSHARES ETF TR IIDWA TACT MLT73937B3994014145924SHSOLE000145924POWERSHARES ETF TR IIDWA TCTL SCTR73937B49836713388SHSOLE00013388POWERSHARES ETF TR IIPWRSHS SP500 LOW73937B654185044949SHSOLE00044949POWERSHARES ETF TR IIS&P500 LOW VOL73937B77932746709580SHSOLE000709580POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X15333958689818SHSOLE000689818POWERSHARES ETF TRUSTFINL PFD PTFL73935X2292619138053SHSOLE000138053POWERSHARES ETF TRUSTHI YLD EQ DVDN73935X302104961072SHSOLE00061072POWERSHARES ETF TRUSTDYNAMIC TECH SET73935X34465212879SHSOLE00012879POWERSHARES ETF TRUSTFTSE US1500 SM73935X5672501991SHSOLE0001991POWERSHARES ETF TRUSTDYN BLDG CNSTR73935X6662728600SHSOLE0008600POWERSHARES ETF TRUSTDYNM LRG CP VL73935X70852213959SHSOLE00013959POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1083524129795SHSOLE000129795POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q2073890199926SHSOLE000199926POWERSHARES ETF TRUST IIDWA SC MOMNT PTF73936Q744137528989SHSOLE00028989POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76964928042SHSOLE00028042POWERSHARES ETF TRUST IIKBW YIELD REIT73936Q81938310223SHSOLE00010223POWERSHARES QQQ TRUSTUNIT SER 173935A104925063487SHSOLE00063487PRAXAIR INCCOM74005P1045233684SHSOLE0003684PROCTER AND GAMBLE COCOM742718109128814108SHSOLE00014108PROSPECT CAPITAL CORPORATIONCOM74348T1021156171760SHSOLE000171760QUALCOMM INCCOM7475251032945665SHSOLE0005665RAYTHEON COCOM NEW7551115074842591SHSOLE0002591RESEARCH FRONTIERS INCCOM7609111072319800SHSOLE00019800ROCKWELL AUTOMATION INCCOM7739031096313460SHSOLE0003460ROCKWELL COLLINS INCCOM7743411018796620SHSOLE0006620ROYAL CARIBBEAN CRUISES LTDCOMV7780T1032431998SHSOLE0001998ROYAL DUTCH SHELL PLCSPON ADR B7802591075999565SHSOLE0009565ROYAL DUTCH SHELL PLCSPONS ADR A780259206159026120SHSOLE00026120RYDEX ETF TRUSTGUG S&P500 EQ WT78355W106238124765SHSOLE00024765RYDEX ETF TRUSTGUG S&P500 EQ WT78355W8334083625SHSOLE0003625SANOFISPONSORED ADR80105N1052254489SHSOLE0004489SCANA CORP NEWCOM80589M1023096369SHSOLE0006369SCHLUMBERGER LTDCOM8068571083244652SHSOLE0004652SEABRIDGE GOLD INCCOM81191610522918014SHSOLE00018014SEADRILL LIMITEDSHSG7945E1051743440SHSOLE00043440SELECT SECTOR SPDR TRSBI MATERIALS81369Y100184131999SHSOLE00031999SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209241929303SHSOLE00029303SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308234543360SHSOLE00043360SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407303533384SHSOLE00033384SELECT SECTOR SPDR TRENERGY81369Y5063394958SHSOLE0004958SELECT SECTOR SPDR TRSBI INT-FINL81369Y6053269125743SHSOLE000125743SELECT SECTOR SPDR TRSBI INT-INDS81369Y704299641901SHSOLE00041901SELECT SECTOR SPDR TRTECHNOLOGY81369Y803229038655SHSOLE00038655SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886199437300SHSOLE00037300SENIOR HSG PPTYS TRSH BEN INT81721M10981341600SHSOLE00041600SIRIUS XM HLDGS INCCOM82968B1037012200SHSOLE00012200SNAP INCCL A83304A10636825338SHSOLE00025338SOUTHERN COCOM842587107190738828SHSOLE00038828SOUTHWEST AIRLS COCOM8447411083355741SHSOLE0005741SPDR DOW JONES INDL AVRG ETFUT SER 178467X109310113761SHSOLE00013761SPDR GOLD TRUSTGOLD SHS78463V1079087475SHSOLE0007475SPDR INDEX SHS FDSS&P INTL ETF78463X7722837009SHSOLE0007009SPDR INDEX SHS FDSDJ INTL RL ETF78463X86361416009SHSOLE00016009SPDR S&P 500 ETF TRTR UNIT78462F103970638531SHSOLE00038531SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107351010725SHSOLE00010725SPDR SER TRDORSEY WRGT FI78468R713270651056671SHSOLE0001056671SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359167632782SHSOLE00032782SPDR SERIES TRUSTBLOMBRG BRC INTR78464A3752477146SHSOLE0007146SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A4172847621SHSOLE0007621SPDR SERIES TRUSTBLOMBERG INTL TR78464A51633511952SHSOLE00011952SPDR SERIES TRUSTS&P TRANSN ETF78464A5322804662SHSOLE0004662SPDR SERIES TRUSTS&P METALS MNG78464A75599030422SHSOLE00030422SPDR SERIES TRUSTS&P DIVID ETF78464A7637378056SHSOLE0008056SPDR SERIES TRUSTS&P BIOTECH78464A8705806585SHSOLE0006585SPIRIT RLTY CAP INC NEWCOM84860W1028810270SHSOLE00010270STAG INDL INCCOM85254J10229910725SHSOLE00010725STARBUCKS CORPCOM8552441094388137SHSOLE0008137STRYKER CORPCOM8636671012161522SHSOLE0001522SUNCOR ENERGY INC NEWCOM86722410735310058SHSOLE00010058SYNOVUS FINL CORPCOM NEW87161C5012395168SHSOLE0005168SYSCO CORPCOM8718291072374388SHSOLE0004388TEXAS INSTRS INCCOM8825081046216881SHSOLE0006881TIER REIT INCCOM NEW88650V20851426514SHSOLE00026514TIME WARNER INCCOM NEW8873173034884712SHSOLE0004712TIPTREE INCCL A88822Q10327644077SHSOLE00044077TJX COS INC NEWCOM8725401092293112SHSOLE0003112TRACTOR SUPPLY COCOM8923561062203541SHSOLE0003541TRANSENTERIX INCCOM NEW89366M2012919000SHSOLE00019000TRANSOCEAN LTDREG SHSH8817H10027726252SHSOLE00026252TRITON INTL LTDCL AG9078F107190054857SHSOLE00054857TROVAGENE INCCOM NEW89723830987126350SHSOLE000126350TWITTER INCCOM90184L10230217040SHSOLE00017040UNILEVER PLCSPON ADR NEW9047677042063563SHSOLE0003563UNION PAC CORPCOM9078181086085323SHSOLE0005323UNITED PARCEL SERVICE INCCL B9113121069868226SHSOLE0008226UNITED TECHNOLOGIES CORPCOM9130171098877570SHSOLE0007570UNITED THERAPEUTICS CORP DELCOM91307C1022632150SHSOLE0002150UNITEDHEALTH GROUP INCCOM91324P1027403746SHSOLE0003746URANIUM ENERGY CORPCOM9168961031612000SHSOLE00012000US BANCORP DELCOM NEW9029733042254206SHSOLE0004206V F CORPCOM91820410867810529SHSOLE00010529VALERO ENERGY CORP NEWCOM91913Y1002072668SHSOLE0002668VANECK VECTORS ETF TRGOLD MINERS ETF92189F10665127835SHSOLE00027835VANECK VECTORS ETF TRJP MORGAN MKTS92189F49423712401SHSOLE00012401VANECK VECTORS ETF TRJR GOLD MINERS E92189F79147513841SHSOLE00013841VANGUARD BD INDEX FD INCINTERMED TERM921937819142716858SHSOLE00016858VANGUARD BD INDEX FD INCSHORT TRM BOND921937827247330987SHSOLE00030987VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835339641493SHSOLE00041493VANGUARD INDEX FDSS&P 500 ETF SHS92290836315146512SHSOLE0006512VANGUARD INDEX FDSMCAP VL IDXVIP922908512245523036SHSOLE00023036VANGUARD INDEX FDSREIT ETF922908553143717259SHSOLE00017259VANGUARD INDEX FDSSM CP VAL ETF92290861112739868SHSOLE0009868VANGUARD INDEX FDSEXTEND MKT ETF922908652116510808SHSOLE00010808VANGUARD INDEX FDSGROWTH ETF9229087363272454SHSOLE0002454VANGUARD INDEX FDSVALUE ETF9229087442582564SHSOLE0002564VANGUARD INDEX FDSSMALL CP ETF9229087512261580SHSOLE0001580VANGUARD INDEX FDSTOTAL STK MKT922908769131710101SHSOLE00010101VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427424276031SHSOLE0006031VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285886319590SHSOLE00019590VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4092943679SHSOLE0003679VANGUARD SCOTTSDALE FDSVNG RUS1000GRW92206C680144011156SHSOLE00011156VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7148948550SHSOLE0008550VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088444414644SHSOLE0004644VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385852212014SHSOLE00012014VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464067489218SHSOLE0009218VANGUARD WORLD FDMEGA GRWTH IND9219108163913731SHSOLE0003731VANGUARD WORLD FDSCONSUM DIS ETF92204A1083612504SHSOLE0002504VANGUARD WORLD FDSINF TECH ETF92204A7023792479SHSOLE0002479VANGUARD WORLD FDSUTILITIES ETF92204A8768767447SHSOLE0007447VERIZON COMMUNICATIONS INCCOM92343V104346269783SHSOLE00069783VISA INCCOM CL A92826C8396175858SHSOLE0005858VODAFONE GROUP PLC NEWSPONSORED ADR92857W3082017078SHSOLE0007078WAL-MART STORES INCCOM931142103239630599SHSOLE00030599WASTE MGMT INC DELCOM94106L1094225448SHSOLE0005448WELLS FARGO CO NEWCOM949746101108019625SHSOLE00019625WINDSTREAM HLDGS INCCOM NEW97382A2002210642SHSOLE00010642WISDOMTREE TRUS DIVID EX FNCL97717W4063003558SHSOLE0003558YAMANA GOLD INCCOM98462Y1005018819SHSOLE00018819YUM BRANDS INCCOM988498101163722218SHSOLE00022218