0001541625-19-000007.txt : 20191022 0001541625-19-000007.hdr.sgml : 20191022 20191022164447 ACCESSION NUMBER: 0001541625-19-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191022 DATE AS OF CHANGE: 20191022 EFFECTIVENESS DATE: 20191022 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: 191162080 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 09-30-2019 09-30-2019 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

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ETF4642865256807177SHSOLE0007177ISHARES INCCORE MSCI EMKT46434G10390518472SHSOLE00018472ISHARES INCMSCI JPN ETF NEW46434G8225539751SHSOLE0009751ISHARES SILVER TRUSTISHARES46428Q10920212714SHSOLE00012714ISHARES TRS&P 100 ETF4642871016464914SHSOLE0004914ISHARES TRMRNGSTR LG-CP GR4642871192611365SHSOLE0001365ISHARES TRCORE S&P TTL STK4642871503334972SHSOLE0004972ISHARES TRSELECT DIVID ETF464287168143514075SHSOLE00014075ISHARES TRTIPS BD ETF4642871763873331SHSOLE0003331ISHARES TRCORE S&P500 ETF464287200399113370SHSOLE00013370ISHARES TRCORE US AGGBD ET46428722620508181215SHSOLE000181215ISHARES TRMSCI EMG MKT ETF46428723465416014SHSOLE00016014ISHARES TRIBOXX INV CP ETF464287242216416972SHSOLE00016972ISHARES TRS&P 500 GRWT ETF4642873099655363SHSOLE0005363ISHARES TRS&P 500 VAL ETF4642874082251893SHSOLE0001893ISHARES TR20 YR TR BD ETF4642874323372353SHSOLE0002353ISHARES TR1 3 YR TREAS BD464287457134115808SHSOLE00015808ISHARES TRMSCI EAFE ETF464287465271041557SHSOLE00041557ISHARES TRRUS MD CP GR ETF4642874815323761SHSOLE0003761ISHARES TRRUS MID CAP ETF46428749982314704SHSOLE00014704ISHARES TRCORE S&P MCP ETF4642875079504917SHSOLE0004917ISHARES TREXPND TEC SC ETF4642875494201936SHSOLE0001936ISHARES TRCOHEN STEER REIT4642875648577140SHSOLE0007140ISHARES TRU.S. CNSM SV ETF464287580389117898SHSOLE00017898ISHARES TRRUS 1000 VAL ETF4642875987235639SHSOLE0005639ISHARES TRRUS 1000 GRW ETF46428761410376496SHSOLE0006496ISHARES TRRUS 1000 ETF4642876222511523SHSOLE0001523ISHARES TRRUS 2000 GRW ETF4642876482911509SHSOLE0001509ISHARES TRRUSSELL 2000 ETF46428765512838476SHSOLE0008476ISHARES TRCORE S&P US VLU464287663106518424SHSOLE00018424ISHARES TRCORE S&P US GWT4642876712924638SHSOLE0004638ISHARES TRRUSSELL 3000 ETF46428768914248193SHSOLE0008193ISHARES TRU.S. UTILITS ETF464287697413525389SHSOLE00025389ISHARES TRS&P MC 400VL ETF4642877057524705SHSOLE0004705ISHARES TRU.S. TECH ETF464287721553327095SHSOLE00027095ISHARES TRU.S. REAL ES ETF4642877393383618SHSOLE0003618ISHARES TRUS INDUSTRIALS46428775412317753SHSOLE0007753ISHARES TRUS HLTHCARE ETF4642877627163787SHSOLE0003787ISHARES TRU.S. FINLS ETF464287788338626300SHSOLE00026300ISHARES TRCORE S&P SCP ETF464287804318040848SHSOLE00040848ISHARES TRS&P SML 600 GWT4642878872471383SHSOLE0001383ISHARES TRMSCI ACWI ETF4642882572343175SHSOLE0003175ISHARES TREAFE SML CP ETF4642882732574497SHSOLE0004497ISHARES TRNATIONAL MUN ETF4642884145234580SHSOLE0004580ISHARES TRINTL SEL DIV ETF46428844835211445SHSOLE00011445ISHARES TRIBOXX HI YD ETF464288513137115727SHSOLE00015727ISHARES TRCRE U S REIT ETF4642885213135628SHSOLE0005628ISHARES TRRESIDNL REAL EST4642885626187775SHSOLE0007775ISHARES TRMBS ETF4642885882452259SHSOLE0002259ISHARES TRUSD INV GRDE ETF4642886204317391SHSOLE0007391ISHARES TRPFD AND INCM SEC4642886873764100286SHSOLE000100286ISHARES TRGLB CNS DISC ETF4642887452051710SHSOLE0001710ISHARES TRUS AER DEF ETF4642887609514233SHSOLE0004233ISHARES TREAFE VALUE ETF4642888773497367SHSOLE0007367ISHARES TRRUS TP200 VL ETF4642894203376156SHSOLE0006156ISHARES TRRUS TP200 GR ETF4642894384875597SHSOLE0005597ISHARES TRCONSER ALLOC ETF464289883166446660SHSOLE00046660ISHARES TRFLTG RATE NT ETF46429B6552174258SHSOLE0004258ISHARES TRCORE HIGH DV ETF46429B6634064317SHSOLE0004317ISHARES TRMIN VOL EAFE ETF46429B68986411792SHSOLE00011792ISHARES TRMSCI MIN VOL ETF46429B697395261660SHSOLE00061660ISHARES TR0-5 YR TIPS ETF46429B7473713704SHSOLE0003704ISHARES TRUSA MOMENTUM FCT46432F396156413113SHSOLE00013113ISHARES TRCORE MSCI EAFE46432F842165327061SHSOLE00027061ISHARES TRCORE TOTAL USD46434V6132975674SHSOLE0005674ISHARES TRCORE DIV GRWTH46434V6213609197SHSOLE0009197ISHARES TRMORTGE REL ETF46435G34244510553SHSOLE00010553JOHNSON & JOHNSONCOM478160104280721697SHSOLE00021697JOHNSON CTLS INTL PLCSHSG51502105214548872SHSOLE00048872JP MORGAN EXCHANGE TRADED FDULTRA SHRT INC46641Q837448088841SHSOLE00088841JPMORGAN CHASE & COCOM46625H100490641689SHSOLE00041689KELLOGG COCOM4878361084416847SHSOLE0006847KIMBERLY CLARK CORPCOM4943681034883437SHSOLE0003437KINDER MORGAN INC DELCOM49456B10163230649SHSOLE00030649KIRKLAND LAKE GOLD LTDCOM49741E1002004470SHSOLE0004470KKR & CO INCCL A48251W10486932360SHSOLE00032360KRAFT HEINZ COCOM50075410673926445SHSOLE00026445KROGER COCOM5010441012218581SHSOLE0008581L3HARRIS TECHNOLOGIES INCCOM50243110913456444SHSOLE0006444LABORATORY CORP AMER HLDGSCOM NEW50540R4097014173SHSOLE0004173LILLY ELI & COCOM5324571085785171SHSOLE0005171LINDE PLCSHSG5494J1035432805SHSOLE0002805LOCKHEED MARTIN CORPCOM539830109409610502SHSOLE00010502LOWES COS INCCOM548661107218319855SHSOLE00019855LULULEMON ATHLETICA INCCOM550021109205810689SHSOLE00010689LUMBER LIQUIDATORS HLDGS INCCOM55003T10713313501SHSOLE00013501LYONDELLBASELL INDUSTRIES NSHS - A -N537451004495020SHSOLE0005020MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP559080106230034705SHSOLE00034705MARATHON OIL CORPCOM56584910629624129SHSOLE00024129MARKEL CORPCOM570535104591500SHSOLE000500MASTERCARD INCCL A57636Q1043081133SHSOLE0001133MCCORMICK & CO INCCOM NON VTG5797802064602944SHSOLE0002944MCDERMOTT INTL INCCOM5800377039546911SHSOLE00046911MCDONALDS CORPCOM580135101317514788SHSOLE00014788MEDTRONIC PLCSHSG5960L103319129378SHSOLE00029378MERCK & CO INCCOM58933Y105170320227SHSOLE00020227METLIFE INCCOM59156R108213945358SHSOLE00045358MGIC INVT CORP WISCOM55284810314611575SHSOLE00011575MICROCHIP TECHNOLOGY INCCOM5950171046727231SHSOLE0007231MICRON TECHNOLOGY INCCOM5951121034269952SHSOLE0009952MICROSOFT CORPCOM594918104885663698SHSOLE00063698MONDELEZ INTL INCCL A60920710570212686SHSOLE00012686NATIONAL GRID PLCSPONSORED ADR NE6362744094428163SHSOLE0008163NETFLIX INCCOM64110L1068673238SHSOLE0003238NEXTERA ENERGY INCCOM65339F10116597122SHSOLE0007122NIKE INCCL B654106103122713062SHSOLE00013062NORFOLK SOUTHERN CORPCOM65584410811976663SHSOLE0006663NORTHROP GRUMMAN CORPCOM6668071025821552SHSOLE0001552NOVAN INCCOM66988N10624695435SHSOLE00095435NOVARTIS A GSPONSORED ADR66987V1098249476SHSOLE0009476NOVO-NORDISK A SADR6701002054729131SHSOLE0009131NUVEEN ALL CAP ENE MLP OPPOCOM67075E10818332180SHSOLE00032180NUVEEN MUN VALUE FD INCCOM67092810014013288SHSOLE00013288NUVEEN PFD & INCM SECURTIESCOM67072C10564165045SHSOLE00065045NVIDIA CORPCOM67066G10414368251SHSOLE0008251NXP SEMICONDUCTORS N VCOMN6596X1092792561SHSOLE0002561O REILLY AUTOMOTIVE INC NEWCOM67103H107226566SHSOLE000566OCCIDENTAL PETE CORPCOM6745991052325214SHSOLE0005214OKTA INCCL A6792951054894966SHSOLE0004966OMNICOM GROUP INCCOM6819191062242864SHSOLE0002864ONEOK INC NEWCOM6826801034466051SHSOLE0006051ORACLE CORPCOM68389X1054728579SHSOLE0008579OWENS CORNING NEWCOM6907421012594104SHSOLE0004104PACKAGING CORP AMERCOM6951561098277791SHSOLE0007791PAYCHEX INCCOM7043261078209907SHSOLE0009907PAYPAL HLDGS INCCOM70450Y1038538230SHSOLE0008230PEPSICO INCCOM713448108228416659SHSOLE00016659PFIZER INCCOM717081103185351560SHSOLE00051560PHILIP MORRIS INTL INCCOM7181721096108035SHSOLE0008035PHILLIPS 66COM7185461048928709SHSOLE0008709PIMCO ETF TRENHAN SHRT MA AC72201R833113011108SHSOLE00011108PIMCO ETF TRINTER MUN BD ACT72201R86664611688SHSOLE00011688PINTEREST INCCL A72352L10628910909SHSOLE00010909PLUG POWER INCCOM NEW72919P2023513400SHSOLE00013400PNC FINL SVCS GROUP INCCOM6934751055413863SHSOLE0003863POLARIS INCCOM7310681023013416SHSOLE0003416PPG INDS INCCOM6935061072041718SHSOLE0001718PPL CORPCOM69351T1063109832SHSOLE0009832PRICE T ROWE GROUP INCCOM74144T1082061806SHSOLE0001806PROCTER & GAMBLE COCOM742718109563445297SHSOLE00045297PROLOGIS INCCOM74340W103226626589SHSOLE00026589PROSHARES TRS&P MDCP 400 DIV74347B6803305675SHSOLE0005675PROSHARES TRRUSS 2000 DIVD74347B69877413034SHSOLE00013034PROSHARES TRS&P 500 DV ARIST74348A467246234393SHSOLE00034393PROSPECT CAPITAL CORPORATIONCOM74348T10222033424SHSOLE00033424PRUDENTIAL FINL INCCOM7443201025225802SHSOLE0005802PYXUS INTL INCCOM74737V10620916000SHSOLE00016000QUALCOMM INCCOM7475251037039215SHSOLE0009215QUANTA SVCS INCCOM74762E1022817430SHSOLE0007430RAYTHEON COCOM NEW7551115077623885SHSOLE0003885REALTY INCOME CORPCOM7561091042923806SHSOLE0003806REGIONS FINL CORP NEWCOM7591EP10042827044SHSOLE00027044REPUBLIC SVCS INCCOM7607591003764341SHSOLE0004341ROYAL BK CDA MONTREAL QUECOM7800871023694550SHSOLE0004550ROYAL CARIBBEAN CRUISES LTDCOMV7780T1034053737SHSOLE0003737ROYAL DUTCH SHELL PLCSPON ADR B780259107117119542SHSOLE00019542ROYAL DUTCH SHELL PLCSPONS ADR A7802592064066891SHSOLE0006891ROYAL GOLD INCCOM7802871083072495SHSOLE0002495S&P GLOBAL INCCOM78409V104228931SHSOLE000931SALESFORCE COM INCCOM79466L3023072067SHSOLE0002067SAP SESPON ADR8030542046575577SHSOLE0005577SCHLUMBERGER LTDCOM80685710850414752SHSOLE00014752SCHWAB STRATEGIC TRUS BRD MKT ETF8085241022864021SHSOLE0004021SCHWAB STRATEGIC TRUS MID-CAP ETF8085245085119044SHSOLE0009044SCHWAB STRATEGIC TRINTL EQTY ETF8085248052106588SHSOLE0006588SCHWAB STRATEGIC TRUS AGGREGATE B80852483962611634SHSOLE00011634SELECT SECTOR SPDR TRSBI MATERIALS81369Y100228839321SHSOLE00039321SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209125913972SHSOLE00013972SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308335154563SHSOLE00054563SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407462338301SHSOLE00038301SELECT SECTOR SPDR TRENERGY81369Y5063115262SHSOLE0005262SELECT SECTOR SPDR TRSBI INT-FINL81369Y6054476159848SHSOLE000159848SELECT SECTOR SPDR TRSBI INT-INDS81369Y704310539997SHSOLE00039997SELECT SECTOR SPDR TRTECHNOLOGY81369Y803359644659SHSOLE00044659SELECT SECTOR SPDR TRCOMMUNICATION81369Y852212542910SHSOLE00042910SELECT SECTOR SPDR TRRL EST SEL SEC81369Y86042610830SHSOLE00010830SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886341452736SHSOLE00052736SEMPRA ENERGYCOM8168511094302916SHSOLE0002916SHERWIN WILLIAMS COCOM8243481067361339SHSOLE0001339SMUCKER J M COCOM NEW8326964057897170SHSOLE0007170SONOCO PRODS COCOM8354951022644541SHSOLE0004541SONY CORPSPONSORED ADR8356993072794716SHSOLE0004716SOUTHERN COCOM842587107139722623SHSOLE00022623SOUTHWEST AIRLS COCOM84474110854210041SHSOLE00010041SPDR DOW JONES INDL AVRG ETFUT SER 178467X109318911848SHSOLE00011848SPDR GOLD TRUSTGOLD SHS78463V107355725613SHSOLE00025613SPDR INDEX SHS FDSS&P INTL ETF78463X7722787129SHSOLE0007129SPDR INDEX SHS FDSDJ INTL RL ETF78463X86350612807SHSOLE00012807SPDR S&P 500 ETF TRTR UNIT78462F1031151838812SHSOLE00038812SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10732929339SHSOLE0009339SPDR SERIES TRUSTNUV HGHYLD MUN78464A2843165325SHSOLE0005325SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359143127280SHSOLE00027280SPDR SERIES TRUSTPRTFLO S&P500 GW78464A40947112115SHSOLE00012115SPDR SERIES TRUSTPRTFLO S&P500 VL78464A5082016277SHSOLE0006277SPDR SERIES TRUSTAEROSPACE DEF78464A6316035643SHSOLE0005643SPDR SERIES TRUSTPORTFOLIO AGRGTE78464A64959119926SHSOLE00019926SPDR SERIES TRUSTS&P METALS MNG78464A75543817197SHSOLE00017197SPDR SERIES TRUSTS&P DIVID ETF78464A763186918218SHSOLE00018218SPDR SERIES TRUSTBLOOMBERG BRCLYS78468R6223523233SHSOLE0003233SPDR SERIES TRUSTDORSEY WRGT FI78468R713366771557617SHSOLE0001557617SPDR SERIES TRUSTSSGA US LRG ETF78468R8047756950SHSOLE0006950SPRINT CORPORATIONCOM85207U1057612305SHSOLE00012305SQUARE INCCL A852234103125420236SHSOLE00020236STARBUCKS CORPCOM855244109114012889SHSOLE00012889STONECO LTDCOM CL AG851581062096000SHSOLE0006000STRYKER CORPCOM8636671015582581SHSOLE0002581SUNCOR ENERGY INC NEWCOM86722410740212723SHSOLE00012723SYSCO CORPCOM8718291076538227SHSOLE0008227TARGET CORPCOM87612E1065224883SHSOLE0004883TESLA INCCOM88160R101211874SHSOLE000874TEVA PHARMACEUTICAL INDS LTDSPONSORED ADS88162420928140885SHSOLE00040885TEXAS INSTRS INCCOM882508104181414038SHSOLE00014038TIPTREE INCCOM88822Q10327637948SHSOLE00037948TJX COS INC NEWCOM8725401094397878SHSOLE0007878TRACTOR SUPPLY COCOM8923561063553920SHSOLE0003920TRANSENTERIX INCCOM NEW89366M201129208600SHSOLE000208600TRAVELERS COMPANIES INCCOM89417E1095994028SHSOLE0004028TRITON INTL LTDCL AG9078F107190356223SHSOLE00056223TROVAGENE INCCOM8972386061510117SHSOLE00010117TWITTER INCCOM90184L10249211949SHSOLE00011949TWO RDS SHARED TRLDRSHS ALPFACT90214Q77431912795SHSOLE00012795UNILEVER N VN Y SHS NEW9047847094647730SHSOLE0007730UNILEVER PLCSPON ADR NEW9047677043726182SHSOLE0006182UNION PACIFIC CORPCOM9078181088985544SHSOLE0005544UNITED PARCEL SERVICE INCCL B911312106218618248SHSOLE00018248UNITED RENTALS INCCOM9113631097315866SHSOLE0005866UNITED STATES OIL FUND LPUNITS91232N108109996892SHSOLE00096892UNITED TECHNOLOGIES CORPCOM913017109160111729SHSOLE00011729UNITEDHEALTH GROUP INCCOM91324P10214966885SHSOLE0006885UNIVERSAL DISPLAY CORPCOM91347P1054272546SHSOLE0002546US BANCORP DELCOM NEW9029733044588276SHSOLE0008276V F CORPCOM9182041087788737SHSOLE0008737VALERO ENERGY CORP NEWCOM91913Y1003614238SHSOLE0004238VANECK VECTORS ETF TRGOLD MINERS ETF92189F10696336041SHSOLE00036041VANECK VECTORS ETF TRSHORT HIGH YIELD92189F38756322362SHSOLE00022362VANECK VECTORS ETF TRPFD SECS EX FINL92189F42925612589SHSOLE00012589VANECK VECTORS ETF TRJP MORGAN MKTS92189H30070121231SHSOLE00021231VANGUARD BD INDEX FD INCINTERMED TERM921937819348439594SHSOLE00039594VANGUARD BD INDEX FD INCSHORT TRM BOND921937827162920161SHSOLE00020161VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835404147863SHSOLE00047863VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J40763610813SHSOLE00010813VANGUARD GROUPDIV APP ETF9219088444533784SHSOLE0003784VANGUARD INDEX FDSS&P 500 ETF SHS9229083636512388SHSOLE0002388VANGUARD INDEX FDSMCAP VL IDXVIP9229085122121879SHSOLE0001879VANGUARD INDEX FDSREAL ESTATE ETF9229085535656055SHSOLE0006055VANGUARD INDEX FDSSML CP GRW ETF9229085952751508SHSOLE0001508VANGUARD INDEX FDSSM CP VAL ETF9229086115584333SHSOLE0004333VANGUARD INDEX FDSMID CAP ETF922908629169010083SHSOLE00010083VANGUARD INDEX FDSLARGE CAP ETF922908637198314545SHSOLE00014545VANGUARD INDEX FDSEXTEND MKT ETF9229086525935096SHSOLE0005096VANGUARD INDEX FDSGROWTH ETF92290873613398054SHSOLE0008054VANGUARD INDEX FDSVALUE ETF922908744176215785SHSOLE00015785VANGUARD INDEX FDSSMALL CP ETF9229087518725667SHSOLE0005667VANGUARD INDEX FDSTOTAL STK MKT922908769264017483SHSOLE00017483VANGUARD INTL EQUITY INDEX FALLWRLD EX US92204277561312294SHSOLE00012294VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428583358321SHSOLE0008321VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4093984907SHSOLE0004907VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C8702222432SHSOLE0002432VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858111027010SHSOLE00027010VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406182720594SHSOLE00020594VANGUARD WORLD FDMEGA GRWTH IND9219108164893684SHSOLE0003684VANGUARD WORLD FDSCONSUM DIS ETF92204A1082851584SHSOLE0001584VANGUARD WORLD FDSUTILITIES ETF92204A8764282979SHSOLE0002979VERIZON COMMUNICATIONS INCCOM92343V1046048100198SHSOLE000100198VISA INCCOM CL A92826C839210812255SHSOLE00012255VULCAN MATLS COCOM929160109639942309SHSOLE00042309WALMART INCCOM931142103435836721SHSOLE00036721WASTE MGMT INC DELCOM94106L1092742386SHSOLE0002386WEC ENERGY GROUP INCCOM92939U1064795042SHSOLE0005042WELLS FARGO CO NEWCOM949746101160031730SHSOLE00031730WELLTOWER INCCOM95040Q1042953254SHSOLE0003254WISDOMTREE TRUS DIVID EX FNCL97717W4063023451SHSOLE0003451WISDOMTREE TRHEDGED HI YLD BD97717W43057725095SHSOLE00025095WISDOMTREE TRUS QTLY DIV GRT97717X6694469893SHSOLE0009893WORKHORSE GROUP INCCOM NEW98138J20614441225SHSOLE00041225XCEL ENERGY INCCOM98389B1002573963SHSOLE0003963YUM BRANDS INCCOM988498101239321100SHSOLE00021100ZOETIS INCCL A98978V1032121704SHSOLE0001704