0001541625-19-000002.txt : 20190213 0001541625-19-000002.hdr.sgml : 20190213 20190213100032 ACCESSION NUMBER: 0001541625-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190213 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: 19593712 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 12-31-2018 12-31-2018 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

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INCCOM64110L1069643517SHSOLE0003517NEXTERA ENERGY INCCOM65339F1016934003SHSOLE0004003NIKE INCCL B6541061036809144SHSOLE0009144NORFOLK SOUTHERN CORPCOM6558441085883924SHSOLE0003924NORTHROP GRUMMAN CORPCOM666807102214872SHSOLE000872NOVAN INCCOM66988N1065060692SHSOLE00060692NOVARTIS A GSPONSORED ADR66987V1097618864SHSOLE0008864NOVO-NORDISK A SADR6701002052425118SHSOLE0005118NUVEEN ALL CAP ENE MLP OPPOCOM67075E10810218502SHSOLE00018502NUVEEN MUN VALUE FD INCCOM6709281009510200SHSOLE00010200NUVEEN PFD & INCM SECURTIESCOM67072C10533840970SHSOLE00040970NVIDIA CORPCOM67066G1047435552SHSOLE0005552OKTA INCCL A6792951053635684SHSOLE0005684OMNICOM GROUP INCCOM6819191062683657SHSOLE0003657ONEOK INC NEWCOM68268010371513139SHSOLE00013139PACKAGING CORP AMERCOM6951561096187391SHSOLE0007391PAYCHEX INCCOM7043261072613966SHSOLE0003966PAYPAL HLDGS INCCOM70450Y1034905754SHSOLE0005754PEPSICO INCCOM713448108151113672SHSOLE00013672PERMIAN BASIN RTY TRUNIT BEN INT71423610613923500SHSOLE00023500PFIZER INCCOM717081103188543482SHSOLE00043482PHILIP MORRIS INTL INCCOM7181721093435103SHSOLE0005103PHILLIPS 66COM7185461046817761SHSOLE0007761PIMCO ETF TRENHAN SHRT MA AC72201R833121712055SHSOLE00012055PIONEER NAT RES COCOM7237871072571849SHSOLE0001849PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310530715182SHSOLE00015182PROCTER AND GAMBLE COCOM742718109284630931SHSOLE00030931PROSHARES TRRUSS 2000 DIVD74347B69875514024SHSOLE00014024PROSHARES TRS&P 500 DV ARIST74348A467142823591SHSOLE00023591PROSHARES TRS&P MDCP 400 DIV74347B6803526812SHSOLE0006812PROSPECT CAPITAL CORPORATIONCOM74348T10231949930SHSOLE00049930QUALCOMM INCCOM7475251034828466SHSOLE0008466RAYTHEON COCOM NEW7551115072831840SHSOLE0001840REAL GOODS SOLAR INCCL A 201775601N500510000SHSOLE00010000ROYAL DUTCH SHELL PLCSPON ADR B7802591075408709SHSOLE0008709ROYAL DUTCH SHELL PLCSPONS ADR A7802592062854877SHSOLE0004877ROYAL GOLD INCCOM7802871082072430SHSOLE0002430SAP SESPON ADR8030542045405425SHSOLE0005425SEAGATE TECHNOLOGY PLCSHSG7945M10742411091SHSOLE00011091SELECT SECTOR SPDR TRENERGY81369Y5064407586SHSOLE0007586SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4077857860SHSOLE0007860SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308187136527SHSOLE00036527SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209216325105SHSOLE00025105SELECT SECTOR SPDR TRSBI INT-FINL81369Y605153363954SHSOLE00063954SELECT SECTOR SPDR TRSBI INT-INDS81369Y7046449940SHSOLE0009940SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886195537029SHSOLE00037029SELECT SECTOR SPDR TRTECHNOLOGY81369Y8034807754SHSOLE0007754SHERWIN WILLIAMS COCOM8243481065251337SHSOLE0001337SOUTHERN COCOM8425871074099246SHSOLE0009246SOUTHWEST AIRLS COCOM8447411084068501SHSOLE0008501SPDR DOW JONES INDL AVRG ETFUT SER 178467X109277711900SHSOLE00011900SPDR GOLD TRUSTGOLD SHS78463V1079597900SHSOLE0007900SPDR INDEX SHS FDSDJ INTL RL ETF78463X86346413097SHSOLE00013097SPDR INDEX SHS FDSS&P INTL ETF78463X7722497129SHSOLE0007129SPDR S&P 500 ETF TRTR UNIT78462F103959738300SHSOLE00038300SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10729839839SHSOLE0009839SPDR SER TRDORSEY WRGT FI78468R71319458870201SHSOLE000870201SPDR SERIES TRUSTAEROSPACE DEF78464A6314645884SHSOLE0005884SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A35990319295SHSOLE00019295SPDR SERIES TRUSTS&P DIVID ETF78464A763129914510SHSOLE00014510SPDR SERIES TRUSTS&P METALS MNG78464A75542716287SHSOLE00016287SPDR SERIES TRUSTS&P TRANSN ETF78464A5322214134SHSOLE0004134SQUARE INCCL A85223410387915171SHSOLE00015171STARBUCKS CORPCOM85524410976911992SHSOLE00011992STRYKER CORPCOM8636671012801785SHSOLE0001785SYSCO CORPCOM8718291072854553SHSOLE0004553TARGET CORPCOM87612E1064576922SHSOLE0006922TESLA INCCOM88160R1013371022SHSOLE0001022TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR88162420954133518SHSOLE00033518TEXAS INSTRS INCCOM8825081044875213SHSOLE0005213TIER REIT INCCOM NEW88650V20821110167SHSOLE00010167TIPTREE INCCOM88822Q10321237948SHSOLE00037948TJX COS INC NEWCOM8725401092134760SHSOLE0004760TRANSENTERIX INCCOM NEW89366M20119581800SHSOLE00081800TRANSOCEAN LTDREG SHSH8817H10024532549SHSOLE00032549TRAVELERS COMPANIES INCCOM89417E1093402842SHSOLE0002842TWITTER INCCOM90184L1022498608SHSOLE0008608UNILEVER N VN Y SHS NEW9047847092404448SHSOLE0004448UNILEVER PLCSPON ADR NEW9047677042855443SHSOLE0005443UNION PAC CORPCOM9078181086634806SHSOLE0004806UNITED PARCEL SERVICE INCCL B911312106116511940SHSOLE00011940UNITED TECHNOLOGIES CORPCOM9130171099288690SHSOLE0008690UNITEDHEALTH GROUP INCCOM91324P1028563473SHSOLE0003473UNIVERSAL DISPLAY CORPCOM91347P1052712895SHSOLE0002895US BANCORP DELCOM NEW9029733042755965SHSOLE0005965V F CORPCOM9182041082353293SHSOLE0003293VANECK VECTORS ETF TRGOLD MINERS ETF92189F10623210919SHSOLE00010919VANECK VECTORS ETF TROIL SVCS ETF92189F71820414532SHSOLE00014532VANECK VECTORS ETF TRPFD SECS EX FINL92189F42922312589SHSOLE00012589VANGUARD BD INDEX FD INCINTERMED TERM9219378192853504SHSOLE0003504VANGUARD BD INDEX FD INCSHORT TRM BOND92193782794912079SHSOLE00012079VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835129416315SHSOLE00016315VANGUARD GROUPDIV APP ETF9219088442932993SHSOLE0002993VANGUARD INDEX FDSEXTEND MKT ETF9229086527127108SHSOLE0007108VANGUARD INDEX FDSGROWTH ETF9229087362681981SHSOLE0001981VANGUARD INDEX FDSLARGE CAP ETF9229086373022608SHSOLE0002608VANGUARD INDEX FDSREAL ESTATE ETF9229085536678976SHSOLE0008976VANGUARD INDEX FDSS&P 500 ETF SHS9229083632991289SHSOLE0001289VANGUARD INDEX FDSSM CP VAL ETF9229086114063549SHSOLE0003549VANGUARD INDEX FDSSMALL CP ETF9229087513132344SHSOLE0002344VANGUARD INDEX FDSTOTAL STK MKT922908769183614346SHSOLE00014346VANGUARD INDEX FDSVALUE ETF9229087444104143SHSOLE0004143VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4093704744SHSOLE0004744VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385896325783SHSOLE00025783VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406161920753SHSOLE00020753VANGUARD WORLD FDMEGA GRWTH IND9219108163513284SHSOLE0003284VANGUARD WORLD FDSCONSUM DIS ETF92204A1082781836SHSOLE0001836VERIZON COMMUNICATIONS INCCOM92343V104333559290SHSOLE00059290VISA INCCOM CL A92826C8399066840SHSOLE0006840WAITR HLDGS INCCOM93075210061654050SHSOLE00054050WALGREENS BOOTS ALLIANCE INCCOM9314271082323366SHSOLE0003366WALMART INCCOM931142103296931859SHSOLE00031859WASTE MGMT INC DELCOM94106L1092672999SHSOLE0002999WEATHERFORD INTL PLCORD SHSG488331002035287SHSOLE00035287WEC ENERGY GROUP INCCOM92939U1062483606SHSOLE0003606WEIBO CORPSPONSORED ADR9485961012053500SHSOLE0003500WELLS FARGO CO NEWCOM949746101117525002SHSOLE00025002WELLTOWER INCCOM95040Q1042293311SHSOLE0003311WISDOMTREE TRHEDGED HI YLD BD97717W43053123703SHSOLE00023703WISDOMTREE TRUS DIVID EX FNCL97717W4063524571SHSOLE0004571WISDOMTREE TRUS QTLY DIV GRT97717X6693679565SHSOLE0009565WORKHORSE GROUP INCCOM NEW98138J2061018650SHSOLE00018650YUM BRANDS INCCOM988498101182019806SHSOLE00019806