0001541625-20-000010.txt : 20201030
0001541625-20-000010.hdr.sgml : 20201030
20201030122435
ACCESSION NUMBER: 0001541625-20-000010
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
ALMOND,STEPHEN,NEAL,
FILED AS OF DATE: 20201027
DATE AS OF CHANGE: 20201030
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: MA-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-05058
FILM NUMBER: 201276150
BUSINESS ADDRESS:
STREET 1: 5429 LBJ FREEWAY
STREET 2: SUITE 750
CITY: DALLAS
STATE: TX
ZIP: 75240
BUSINESS PHONE: 972-531-3000
MAIL ADDRESS:
STREET 1: 5429 LBJ FREEWAY
STREET 2: SUITE 750
CITY: DALLAS
STATE: TX
ZIP: 75240
FORMER COMPANY:
FORMER CONFORMED NAME: Prospera Financial Services
DATE OF NAME CHANGE: 20120207
MA-I/A
1
primary_doc.xml
MA-I/A
0001541625
XXXXXXXX
SANDI RAY
972-581-3021
SANDI.RAY@PROSPERAFINANCIAL.COM
N
Y
STEPHEN
NEAL
ALMOND
2268677
N
1
0001541625
Prospera Financial Services Inc
ARBITRAGE MANAGEMENT GROUP
01-25-2016
Y
867-01950
SUPERVISED
01-25-2016
5429 LBJ FREEWAY
SUITE 400
DALLAS
TX
75420
LOCATED
01-25-2016
01-2016
PROSPERA FINANCIAL SERVICES, INC
DALLAS
TX
75240
Y
Y
REGISTERED REPRESENTATIVE
08-2005
01-2016
STERNE AGEE FINANCIAL SERVICES, INC
AUSTIN
TX
78734
Y
Y
VICE PRESIDENT
03-2005
01-2016
STERNE AGEE ASSET MANAGEMENT, INC
BIRMINGHAM
AL
35209
N
Y
IA REPRESENTATIVE
Y
08-2005
ALMOND MANAGEMENT, LLC
4208 LAKEWAY BLVD
AUSTIN
TX
78734
N
N
PROTEST PERSONAL ASSETS, RUN COMMISSION CHECKS, COLLECT AND PAY TAXES
PRESIDENT
5
PAY EXPENSES, DEPOSIT SEP/IRA FOR MYSELF
08-2005
ARBITRAGE MANAGEMENT GROUP
4208 LAKEWAY BLVD
AUSTIN
TX
78734
N
Y
SECURITIES SALES TO CLIENTS WITH TAX EXEMPT STATUS - OUTSTANDING DEBT
MANAGER
40
SOLICIT AND DISCUSS SECURITY, MANAGE OTHER MEMBERS
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
10-27-2020
Sandra T Ray
Compliance Specialist