State location: TX | State of Inc.: TX | Fiscal Year End: 0612
formerly: Prospera Financial Services (filings through 2015-11-19)
| Filings | Format | Description | Filing Date | File/Film Number |
|---|---|---|---|---|
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-25-001240 (34 Act) Size: 695 KB |
2025-02-13 | 028-14903 25618921 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-24-005424 (34 Act) Size: 684 KB |
2024-11-07 | 028-14903 241434400 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-24-003768 (34 Act) Size: 669 KB |
2024-08-13 | 028-14903 241201089 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-24-003766 (34 Act) Size: 695 KB |
2024-08-13 | 028-14903 241200752 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-24-001392 (34 Act) Size: 644 KB |
2024-02-14 | 028-14903 24636103 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-23-004254 (34 Act) Size: 617 KB |
2023-11-13 | 028-14903 231397005 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-23-003152 (34 Act) Size: 653 KB |
2023-08-08 | 028-14903 231149813 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-23-002290 (34 Act) Size: 590 KB |
2023-05-12 | 028-14903 23916170 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-23-000797 (34 Act) Size: 580 KB |
2023-02-08 | 028-14903 23598767 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-22-003633 (34 Act) Size: 506 KB |
2022-10-27 | 028-14903 221336804 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-22-002854 (34 Act) Size: 982 KB |
2022-08-08 | 028-14903 221142995 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-22-001714 (34 Act) Size: 1 MB |
2022-05-04 | 028-14903 22891055 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-22-000750 (34 Act) Size: 528 KB |
2022-02-10 | 028-14903 22613277 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001085146-21-003106 (34 Act) Size: 368 KB |
2021-11-12 | 028-14903 211400419 |
| 13F-HR/A | Documents | [Amend] Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-21-000005 (34 Act) Size: 393 KB |
2021-08-16 | 028-14903 211175529 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-21-000004 (34 Act) Size: 394 KB |
2021-08-12 | 028-14903 211166621 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-21-000003 (34 Act) Size: 370 KB |
2021-05-06 | 028-14903 21896849 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-21-000002 (34 Act) Size: 333 KB |
2021-02-12 | 028-14903 21624977 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-20-000015 (34 Act) Size: 747 KB |
2020-11-04 | 028-14903 201287503 |
| MA-W | Documents | Notice of Withdrawal from Registration as a Municipal Advisor Acc-no: 0001541625-20-000014 (34 Act) Size: 4 KB |
2020-10-27 | 867-01950 201291463 |
| MA-I/A | Documents | [Amend] Application for Municipal Advisor Registration for Natural Persons Acc-no: 0001541625-20-000010 (34 Act) Size: 11 KB MA-I Individual: ALMOND,STEPHEN,NEAL, |
2020-10-27 | 868-05058 201276150 |
| MA-I/A | Documents | [Amend] Application for Municipal Advisor Registration for Natural Persons Acc-no: 0001541625-20-000011 (34 Act) Size: 10 KB MA-I Individual: TOSHIE,ANDREW,LOUIS,II |
2020-10-27 | 868-05058 201276146 |
| MA-I/A | Documents | [Amend] Application for Municipal Advisor Registration for Natural Persons Acc-no: 0001541625-20-000012 (34 Act) Size: 11 KB MA-I Individual: LUKENS,BRADLEY,JAMES, |
2020-10-27 | 868-05058 201276145 |
| MA-I/A | Documents | [Amend] Application for Municipal Advisor Registration for Natural Persons Acc-no: 0001541625-20-000013 (34 Act) Size: 11 KB MA-I Individual: ROWLAND,GLENN,POWERS, |
2020-10-27 | 868-05058 201276144 |
| MA-A | Documents | Annual Update of Munipal Advisor Registration for Business Entities Acc-no: 0001541625-20-000009 (34 Act) Size: 50 KB |
2020-09-29 | 867-01950 201233652 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-20-000008 (34 Act) Size: 232 KB |
2020-08-07 | 028-14903 201086448 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-20-000006 (34 Act) Size: 208 KB |
2020-05-15 | 028-14903 20883045 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-20-000005 (34 Act) Size: 243 KB |
2020-02-12 | 028-14903 20603889 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-19-000007 (34 Act) Size: 222 KB |
2019-10-22 | 028-14903 191162080 |
| MA-A | Documents | Annual Update of Munipal Advisor Registration for Business Entities Acc-no: 0001541625-19-000006 (34 Act) Size: 48 KB |
2019-09-30 | 867-01950 191156618 |
| 13F-HR/A | Documents | [Amend] Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-19-000005 (34 Act) Size: 211 KB |
2019-08-14 | 028-14903 191025969 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-19-000004 (34 Act) Size: 161 KB |
2019-08-14 | 028-14903 191023392 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-19-000003 (34 Act) Size: 132 KB |
2019-05-02 | 028-14903 19790436 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-19-000002 (34 Act) Size: 161 KB |
2019-02-13 | 028-14903 19593712 |
| MA-A | Documents | Annual Update of Munipal Advisor Registration for Business Entities Acc-no: 0001541625-18-000009 (34 Act) Size: 47 KB |
2018-10-25 | 867-01950 181156127 |
| MA-I/A | Documents | [Amend] Application for Municipal Advisor Registration for Natural Persons Acc-no: 0001541625-18-000008 (34 Act) Size: 12 KB MA-I Individual: BOSWELL,MICHAEL,SHANNON, |
2018-10-25 | 868-05058 181141527 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-18-000010 (34 Act) Size: 169 KB |
2018-10-25 | 028-14903 181138610 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-18-000005 (34 Act) Size: 184 KB |
2018-07-18 | 028-14903 18958346 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-18-000004 (34 Act) Size: 181 KB |
2018-04-12 | 028-14903 18751428 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001541625-18-000003 (34 Act) Size: 162 KB |
2018-01-24 | 028-14903 18543574 |