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