0001541625-18-000010.txt : 20181025 0001541625-18-000010.hdr.sgml : 20181025 20181025143050 ACCESSION NUMBER: 0001541625-18-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181025 DATE AS OF CHANGE: 20181025 EFFECTIVENESS DATE: 20181025 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: 181138610 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 09-30-2018 09-30-2018 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

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COCOM46625H100299026880SHSOLE0002990315JPMORGAN CHASE & COALERIAN ML ETN46625H3652077600SHSOLE000206925KIMBERLY CLARK CORPCOM4943681032302166SHSOLE000230160KINDER MORGAN INC DELCOM49456B10122512406SHSOLE000224626KRAFT HEINZ COCOM5007541062223679SHSOLE000222177KROGER COCOM50104410129810430SHSOLE000298043LAM RESEARCH CORPCOM5128071082551506SHSOLE000255401LIBERTY MEDIA CORPDEB 4.000%11/1530715AG61930000PRNSOLE00019489LILLY ELI & COCOM5324571085695519SHSOLE000569268LOCKHEED MARTIN CORPCOM5398301098082499SHSOLE000807593LOWES COS INCCOM5486611077347397SHSOLE000733515MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP559080106175025717SHSOLE0001749699MARATHON PETE CORPCOM56585A1024285092SHSOLE000428227MARKEL CORPCOM570535104562517SHSOLE000562347MARSH & MCLENNAN COS INCCOM5717481023053655SHSOLE000304901MASTERCARD INCORPORATEDCL A57636Q1042091007SHSOLE000208921MCCORMICK & CO INCCOM NON VTG5797802062532142SHSOLE000252684MCDONALDS CORPCOM58013510111927412SHSOLE0001191814MEDTRONIC PLCSHSG5960L1034484699SHSOLE000447823MERCK & CO INCCOM58933Y10592614604SHSOLE000926479METLIFE INCCOM59156R108173837586SHSOLE0001738256MICRON TECHNOLOGY INCCOM59511210361412947SHSOLE000613656MICRON TECHNOLOGY INCCALL595112903308500SHSOLE000307500MICROSOFT CORPCOM594918104358534300SHSOLE0003585160MONDELEZ INTL INCCL A6092071052315580SHSOLE000231369NASDAQ INCCOM6311031082392619SHSOLE000239058NATIONAL GRID PLCSPONSORED ADR NE6362744094407871SHSOLE000439595NETFLIX INCCOM64110L1068352189SHSOLE000835189NEXTERA ENERGY INCCOM65339F1017264311SHSOLE000725676NIKE INCCL B654106103129116129SHSOLE0001290793NORFOLK SOUTHERN CORPCOM6558441085203331SHSOLE000519651NOVAN INCCOM66988N10620971192SHSOLE000209304NOVARTIS A GSPONSORED ADR66987V1094915849SHSOLE000491110NUSTAR ENERGY LPUNIT COM67058H1022169428SHSOLE000216425NUVEEN PFD & INCM SECURTIESCOM67072C10529634614SHSOLE000296296NVIDIA CORPCOM67066G1046322614SHSOLE000632144O REILLY AUTOMOTIVE INC NEWCOM67103H1074851430SHSOLE000485399ONEOK INC NEWCOM68268010379011344SHSOLE000789915PACKAGING CORP AMERCOM6951561096766091SHSOLE000676270PAYPAL HLDGS INCCOM70450Y1032843380SHSOLE000283831PEPSICO INCCOM713448108123611435SHSOLE0001235885PERMIAN BASIN RTY TRUNIT BEN INT71423610623625300SHSOLE000236049PFIZER INCCOM717081103174943161SHSOLE0001749072PHILIP MORRIS INTL INCCOM7181721093784640SHSOLE000378132PHILLIPS 66COM7185461047376430SHSOLE000737363PIMCO ETF TRENHAN SHRT MA AC72201R833179417669SHSOLE0001793544PIONEER NAT RES COCOM7237871072911599SHSOLE000290771PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310529912555SHSOLE000298648PRAXAIR INCCOM74005P1042571586SHSOLE000256955PROCTER AND GAMBLE COCOM742718109258833017SHSOLE0002587949PROSHARES TRS&P 500 DV ARIST74348A4673535335SHSOLE000352580PROSPECT CAPITAL CORPORATIONCOM74348T10232846350SHSOLE000328049PUBLIC STORAGECOM74460D1093771660SHSOLE000376588QUALCOMM INCCOM7475251035839976SHSOLE000583496QUEST DIAGNOSTICS INCCOM74834L1002121995SHSOLE000212255RANGE RES CORPCOM75281A10937522210SHSOLE000375380RAYTHEON COCOM NEW7551115073171590SHSOLE000317161RED HAT INCCOM7565771023672856SHSOLE000366570ROCKWELL AUTOMATION INCCOM7739031093181745SHSOLE000318061ROCKWELL COLLINS INCCOM7743411013492543SHSOLE000349434ROYAL CARIBBEAN CRUISES LTDCOMV7780T1032451950SHSOLE000244745ROYAL DUTCH SHELL PLCSPON ADR B7802591074185855SHSOLE000417888ROYAL DUTCH SHELL PLCSPONS ADR A7802592063505069SHSOLE000350436SAP SESPON ADR8030542045194474SHSOLE000519232SCHLUMBERGER LTDCOM8068571082563901SHSOLE000256255SEAGATE TECHNOLOGY PLCSHSG7945M1073637494SHSOLE000362999SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209143915736SHSOLE0001438910SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308129824294SHSOLE0001297512SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407202218110SHSOLE0002021740SELECT SECTOR SPDR TRENERGY81369Y506227729777SHSOLE0002277351SELECT SECTOR SPDR TRSBI INT-FINL81369Y6052873104767SHSOLE0002872691SELECT SECTOR SPDR TRSBI INT-INDS81369Y704173622734SHSOLE0001736043SELECT SECTOR SPDR TRTECHNOLOGY81369Y803193126628SHSOLE0001931406SELECT SECTOR SPDR TRSBI INT-UTILS81369Y88698318624SHSOLE000983032SENIOR HSG PPTYS TRSH BEN INT81721M10928615815SHSOLE000286070SHERWIN WILLIAMS COCOM824348106269653SHSOLE000268641SIGNET JEWELERS LIMITEDSHSG812761002364237SHSOLE000236186SOUTHERN COCOM8425871073156951SHSOLE000314977SOUTHWEST AIRLS COCOM84474110861510025SHSOLE000614943SPDR DOW JONES INDL AVRG ETFUT SER 178467X109314512681SHSOLE0003144559SPDR GOLD TRUSTGOLD SHS78463V1076435472SHSOLE000642871SPDR INDEX SHS FDSS&P INTL ETF78463X7723158219SHSOLE000314870SPDR INDEX SHS FDSDJ INTL RL ETF78463X86352613536SHSOLE000525585SPDR S&P 500 ETF TRTR UNIT78462F103896532084SHSOLE0008964660SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10734929598SHSOLE0003492163SPDR SER TRSPDR BLOOMBERG78468R6633413720SHSOLE000340678SPDR SER TRDORSEY WRGT FI78468R71320883900729SHSOLE00020882758SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359173632802SHSOLE0001736271SPDR SERIES TRUSTS&P TRANSN ETF78464A5323735909SHSOLE000372955SPDR SERIES TRUSTAEROSPACE DEF78464A6314034620SHSOLE000403252SPDR SERIES TRUSTS&P METALS MNG78464A75566818820SHSOLE000667533SPDR SERIES TRUSTS&P DIVID ETF78464A763146415779SHSOLE0001464417SPIRIT RLTY CAP INC NEWCOM84860W1028210270SHSOLE00082468SQUARE INCCL A852234103105111455SHSOLE0001051175STARBUCKS CORPCOM85524410953210111SHSOLE000532344STRYKER CORPCOM8636671012741621SHSOLE000273714SUNCOR ENERGY INC NEWCOM8672241072546349SHSOLE000253984SYSCO CORPCOM8718291073555122SHSOLE000355427TARGET CORPCOM87612E1062653414SHSOLE000264912TESLA INCCOM88160R101325952SHSOLE000324594TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR88162420953524366SHSOLE000535185TEXAS INSTRS INCCOM8825081045324965SHSOLE000532155TIER REIT INCCOM NEW88650V20823610302SHSOLE000235774TIPTREE INCCOM88822Q10325837948SHSOLE000258046TJX COS INC NEWCOM8725401092362301SHSOLE000236167TRANSENTERIX INCCOM NEW89366M20143574800SHSOLE000434588TRANSOCEAN LTDREG SHSH8817H10044532549SHSOLE000445448TRAVELERS COMPANIES INCCOM89417E1093262644SHSOLE000325758UNILEVER PLCSPON ADR NEW9047677043957205SHSOLE000394966UNION PAC CORPCOM9078181087664803SHSOLE000766181UNITED PARCEL SERVICE INCCL B911312106122111367SHSOLE0001220874UNITED TECHNOLOGIES CORPCOM9130171099266939SHSOLE000926279UNITEDHEALTH GROUP INCCOM91324P1028723445SHSOLE000871831US BANCORP DELCOM NEW9029733042755371SHSOLE000275421V F CORPCOM9182041084265099SHSOLE000425633VALERO ENERGY CORP NEWCOM91913Y1002602242SHSOLE000260401VANECK VECTORS ETF TRHIGH YLD MUN ETF92189F3612187089SHSOLE000218341VANECK VECTORS ETF TRPFD SECS EX FINL92189F42924712589SHSOLE000246619VANGUARD BD INDEX FD INCINTERMED TERM9219378193494343SHSOLE000349296VANGUARD BD INDEX FD INCSHORT TRM BOND921937827115914830SHSOLE0001159219VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835151719315SHSOLE0001516506VANGUARD GROUPDIV APP ETF9219088442622528SHSOLE000261711VANGUARD INDEX FDSS&P 500 ETF SHS9229083633261225SHSOLE000325800VANGUARD INDEX FDSMCAP VL IDXVIP9229085128587643SHSOLE000858030VANGUARD INDEX FDSREAL ESTATE ETF9229085534555748SHSOLE000454879VANGUARD INDEX FDSSM CP VAL ETF9229086115634139SHSOLE000562998VANGUARD INDEX FDSLARGE CAP ETF9229086373352574SHSOLE000334990VANGUARD INDEX FDSEXTEND MKT ETF9229086527696506SHSOLE000769370VANGUARD INDEX FDSGROWTH ETF9229087363031916SHSOLE000302721VANGUARD INDEX FDSVALUE ETF9229087444614169SHSOLE000460826VANGUARD INDEX FDSSMALL CP ETF9229087513562254SHSOLE000355808VANGUARD INDEX FDSTOTAL STK MKT922908769156110842SHSOLE0001561430VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428582516059SHSOLE000251161VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4092473164SHSOLE000246689VANGUARD SCOTTSDALE FDSVNG RUS1000GRW92206C68012878174SHSOLE0001286506VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7146585912SHSOLE000658183VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385899323237SHSOLE000993179VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406167520120SHSOLE0001675253VANGUARD WORLD FDMEGA GRWTH IND9219108164523799SHSOLE000452080VANGUARD WORLD FDSCONSUM DIS ETF92204A1083121809SHSOLE000311587VANGUARD WORLD FDSUTILITIES ETF92204A8762682297SHSOLE000267676VERIZON COMMUNICATIONS INCCOM92343V104296157953SHSOLE0002960625VISA INCCOM CL A92826C8396945117SHSOLE000694472VODAFONE GROUP PLC NEWSPONSORED ADR92857W30827811438SHSOLE000277557WALGREENS BOOTS ALLIANCE INCCOM9314271082103127SHSOLE000209839WALMART INCCOM931142103268529651SHSOLE0002684649WASTE MGMT INC DELCOM94106L1094165078SHSOLE000416095WELLS FARGO CO NEWCOM949746101105219290SHSOLE0001051664WISDOMTREE TRUS DIVID EX FNCL97717W4064294897SHSOLE000429300WISDOMTREE TRHEDGED HI YLD BD97717W43056423561SHSOLE000563579WISDOMTREE TRUS QTLY DIV GRT97717X6693769173SHSOLE000376048YUM BRANDS INCCOM988498101173719671SHSOLE0001736862