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