0001541625-20-000013.txt : 20201030 0001541625-20-000013.hdr.sgml : 20201030 20201030122333 ACCESSION NUMBER: 0001541625-20-000013 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 ROWLAND,GLENN,POWERS, 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: 201276144 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 GLENN POWERS ROWLAND 1870093 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 3223 GARDNER PARK DRIVE GASTONIA NC 28054 01-2016 PROSPERA FINANCIAL SERVICES, INC DALLAS TX 75240 Y Y REGISTERED REPRESENTATIVE 08-2005 01-2016 STERNE AGEE FINANCIAL SERVICES, INC GASTONIA NC 28054 Y Y VICE PRESIDENT Y 11-2006 COST SEGREGATION SERVICES 10343 SIEGEN LANE BLDG 5 BATON ROUGE LA 70810 N N COST SEGREGATION STUDIES FOR COMMERCIAL PROPERTY OWNERS INDEPENDENT CONTRACTOR, SALES 2 COLLECT BUILDING COST INFORMATION AND BLUEPRINTS AND SEND TO COMPANY, 1 OR 2 STUDIES PER YEAR ON A REFERRAL BASIS 08-2005 ARBITRAGE MANAGEMENT GROUP 3223 GARDNER PARK DRIVE GASTONIA NC 28054 Y Y INVESTING BOND PROCEEDS PRESIDENT, PARTNER 160 FIXED INCOME INVESTING OF PROCEEDS FOR TAX EXEMPT MUNICIPAL ISSUERS 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