0001541625-17-000011.txt : 20170413 0001541625-17-000011.hdr.sgml : 20170413 20170413165640 ACCESSION NUMBER: 0001541625-17-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170413 DATE AS OF CHANGE: 20170413 EFFECTIVENESS DATE: 20170413 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: 17761207 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 03-31-2017 03-31-2017 Prospera Financial Services Inc

5429 LBJ FREEWAY SUITE 400 DALLAS TX 75240

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VL73935X70852014719SHSOLE00014719POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1082814121224SHSOLE000121224POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q2073075188073SHSOLE000188073POWERSHARES ETF TRUST IIDWA SC MOMNT PTF73936Q744106926159SHSOLE00026159POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76973931713SHSOLE00031713POWERSHARES QQQ TRUSTUNIT SER 173935A104631147718SHSOLE00047718PPL CORPCOM69351T10644011777SHSOLE00011777PRICE T ROWE GROUP INCCOM74144T108126018469SHSOLE00018469PROCTER AND GAMBLE COCOM742718109144916129SHSOLE00016129PROSPECT CAPITAL CORPORATIONCOM74348T1021625179692SHSOLE000179692PRUDENTIAL SHT DURATION HG YCOM74442F10735122850SHSOLE00022850QUALCOMM INCCOM74752510391316005SHSOLE00016005RAYTHEON COCOM NEW7551115072861889SHSOLE0001889RESEARCH FRONTIERS INCCOM7609111072619800SHSOLE00019800ROYAL DUTCH SHELL PLCSPON ADR B7802591074277650SHSOLE0007650RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1066377041SHSOLE0007041RYDEX ETF TRUSTGUG S&P500 EQ WT78355W8334274100SHSOLE0004100SCANA CORP NEWCOM80589M1023545356SHSOLE0005356SCHLUMBERGER LTDCOM8068571084295488SHSOLE0005488SEABRIDGE GOLD INCCOM81191610522219473SHSOLE00019473SEADRILL LIMITEDSHSG7945E1052940000SHSOLE00040000SEAGATE TECHNOLOGY PLCSHSG7945M107102722359SHSOLE00022359SELECT SECTOR SPDR TRSBI MATERIALS81369Y100288255038SHSOLE00055038SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209338245575SHSOLE00045575SELECT SECTOR SPDR TRSBI CONS STPLS81369Y308321858979SHSOLE00058979SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407408546768SHSOLE00046768SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y506344549191SHSOLE00049191SELECT SECTOR SPDR TRSBI INT-FINL81369Y6053161134362SHSOLE000134362SELECT SECTOR SPDR TRSBI INT-INDS81369Y704362155767SHSOLE00055767SELECT SECTOR SPDR TRTECHNOLOGY81369Y803334662989SHSOLE00062989SELECT SECTOR SPDR TRSBI INT-UTILS81369Y886139927059SHSOLE00027059SENIOR HSG PPTYS TRSH BEN INT81721M10977238100SHSOLE00038100SHERWIN WILLIAMS COCOM824348106258831SHSOLE000831SIRIUS XM HLDGS INCCOM82968B1036212200SHSOLE00012200SNAP INCCL A83304A10641820075SHSOLE00020075SOUTHERN COCOM842587107194838715SHSOLE00038715SPDR DOW JONES INDL AVRG ETFUT SER 178467X109219910657SHSOLE00010657SPDR GOLD TRUSTGOLD SHS78463V1079127647SHSOLE0007647SPDR INDEX SHS FDSS&P INTL ETF78463X7722777284SHSOLE0007284SPDR INDEX SHS FDSDJ INTL RL ETF78463X86365017381SHSOLE00017381SPDR S&P 500 ETF TRTR UNIT78462F103846435958SHSOLE00035958SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107324610421SHSOLE00010421SPDR SER TRDORSEY WRGT FI78468R713250841002986SHSOLE0001002986SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359144830138SHSOLE00030138SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A4172897854SHSOLE0007854SPDR SERIES TRUSTS&P TRANSN ETF78464A5322053900SHSOLE0003900SPDR SERIES TRUSTS&P METALS MNG78464A75578425871SHSOLE00025871SPDR SERIES TRUSTS&P DIVID ETF78464A763113812919SHSOLE00012919SPIRE INCCOM84857L101137520349SHSOLE00020349SPIRIT RLTY CAP INC NEWCOM84860W10210410270SHSOLE00010270STARBUCKS CORPCOM8552441095519446SHSOLE0009446STRYKER CORPCOM8636671012001522SHSOLE0001522SYNOVUS FINL CORPCOM NEW87161C5012145313SHSOLE0005313SYSCO CORPCOM8718291072284388SHSOLE0004388TARGET CORPCOM87612E1064428064SHSOLE0008064TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR8816242092457642SHSOLE0007642TIER REIT INCCOM NEW88650V20864036939SHSOLE00036939TIPTREE INCCL A88822Q10332444479SHSOLE00044479TRANSOCEAN LTDREG SHSH8817H10023018502SHSOLE00018502TRI CONTL CORPCOM89543610326711530SHSOLE00011530TRITON INTL LTDCL AG9078F107141854857SHSOLE00054857TROVAGENE INCCOM NEW897238309139139125SHSOLE000139125UNION PAC CORPCOM9078181082302163SHSOLE0002163UNITED PARCEL SERVICE INCCL B9113121069008400SHSOLE0008400UNITED TECHNOLOGIES CORPCOM9130171096495772SHSOLE0005772UNITEDHEALTH GROUP INCCOM91324P1027454528SHSOLE0004528URANIUM ENERGY CORPCOM9168961031914000SHSOLE00014000US BANCORP DELCOM NEW9029733042284449SHSOLE0004449V F CORPCOM9182041085229606SHSOLE0009606VANECK VECTORS ETF TRGOLD MINERS ETF92189F10639717099SHSOLE00017099VANECK VECTORS ETF TRJP MORGAN MKTS92189F49423512725SHSOLE00012725VANECK VECTORS ETF TRJR GOLD MINERS E92189F79158515939SHSOLE00015939VANGUARD BD INDEX FD INCINTERMED TERM921937819176921089SHSOLE00021089VANGUARD BD INDEX FD INCSHORT TRM BOND921937827303238030SHSOLE00038030VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835169620902SHSOLE00020902VANGUARD INDEX FDSS&P 500 ETF SHS92290836315157028SHSOLE0007028VANGUARD INDEX FDSMCAP VL IDXVIP922908512319531658SHSOLE00031658VANGUARD INDEX FDSREIT ETF922908553219726496SHSOLE00026496VANGUARD INDEX FDSSM CP VAL ETF922908611200116577SHSOLE00016577VANGUARD INDEX FDSEXTEND MKT ETF922908652113011407SHSOLE00011407VANGUARD INDEX FDSGROWTH ETF9229087362291888SHSOLE0001888VANGUARD INDEX FDSTOTAL STK MKT9229087694273530SHSOLE0003530VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427423275014SHSOLE0005014VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858100125046SHSOLE00025046VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4094075104SHSOLE0005104VANGUARD SCOTTSDALE FDSVNG RUS1000GRW92206C6805404650SHSOLE0004650VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7143813804SHSOLE0003804VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088443974420SHSOLE0004420VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385849612706SHSOLE00012706VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464066758702SHSOLE0008702VANGUARD WORLD FDMEGA GRWTH IND9219108163753919SHSOLE0003919VANGUARD WORLD FDSCONSUM DIS ETF92204A1083792752SHSOLE0002752VANGUARD WORLD FDSUTILITIES ETF92204A876126911190SHSOLE00011190VERIZON COMMUNICATIONS INCCOM92343V104341870030SHSOLE00070030VISA INCCOM CL A92826C8396367155SHSOLE0007155VODAFONE GROUP PLC NEWSPONSORED ADR92857W30858422097SHSOLE00022097WALGREENS BOOTS ALLIANCE INCCOM9314271082072502SHSOLE0002502WAL-MART STORES INCCOM931142103203528255SHSOLE00028255WASTE MGMT INC DELCOM94106L1093985444SHSOLE0005444WELLS FARGO & CO NEWCOM94974610182514895SHSOLE00014895WINDSTREAM HLDGS INCCOM NEW97382A2005710292SHSOLE00010292WISDOMTREE TRHIGH DIV FD97717W2083645317SHSOLE0005317WISDOMTREE TRDIV EX-FINL FD97717W4062933546SHSOLE0003546YUM BRANDS INCCOM988498101138221624SHSOLE00021624