Success your way
Built by advisors for advisors.
TM
Trust
It’s a two-way street.
At Prospera, trust is a two-way street. A company is only as good as the values it’s built on — and that’s why at Prospera, we uphold principles and values of the highest integrity. And it’s because of these standards that we’ve been able to gain the trust of our advisors and help them achieve success.
Our 28 Core Fundamentals describe the behaviors that define our unique culture. They are what set us apart and what make us the gold standard in our field.
Trust
“At Prospera, there’s a mutual trust — and they make me feel like a real business owner.”
Ari Baum | Endurance Wealth Partners
We’ve got your back
Really, we do.
We’re a firm founded on integrity, and since 1982, we’ve been serving advisors with trust and respect. At Prospera, we listen to our advisors, which has helped us build an innovative and industry-leading platform designed to deliver Success Your Way.
“Communication is the key to earning trust. The availability of the whole Prospera team allows for great communication and builds deep trust quickly.”
Tim McLanahan | Becker Suffern McLanahan, LTD
Selective
It’s about quality, not quantity.
At Prospera, who you are matters. You’ll be a name, not a number — because we’re about quality, not quantity. Our selective process assures you’ll always be an extended member of our family while also defining your own brand of success.
“Prospera has a culture of integrity. A culture of character. A culture of independence. They truly want you to have Success Your Way.”
David Little | Little & Associates
More access, less bureaucracy
You will find it here.
When you call our home office in Texas, you can always expect a friendly voice — not a “phone tree” — on the other end of the line. That’s right: more access to decision makers with less bureaucracy. We’ve got the sophistication of Wall Street married with the warmth of a boutique firm … and our focus is on you and getting things done.
“Prospera has an open-door policy to its leadership team. You don’t have to run it up a flagpole.”
John Cervantes | TCA Financial Group
You’re the boss
We listen to you.
Prospera was built by advisors, for advisors. It’s really that simple. We’re an independent boutique firm where the advisor leads the charge, defining their own brand of success — and the highest level of service is our gold standard.
We are privately owned, so our accountability is to you — not a private equity firm looking for an exit. We offer the benefits of a boutique experience while also being part of a wealth management firm with a national presence.
“At Prospera, I’m not just a number — my voice can be heard and I can have impact — because they listen.”
Robert Thorndike | Dominion Capital Partners
Unmatched advisor support
Experience gold standard service.
Gold standard service. It’s our aspiration and commitment to our advisors. At Prospera, we’re financial professionals serving financial professionals — in fact, every employee is Ritz-Carlton service trained. And with our 2-to-1 advisor to employee ratio, getting service right is what we’re all about.
Our service standards are second-to-none. From practice management guidance to daily business operations to marketing services, Prospera has implemented over 100 service standards to support our advisors and their businesses.
support
“Prospera has a great support system for advisors. Access and the lack of bureaucracy have definitely benefitted our team — and I am very glad we chose Prospera.”
Carolyn French | LiveOak Wealth Advisors
FREEDOM
Freedom to grow your business.
Freedom to do what is right for your clients.
Freedom from a one-size-fits-all megafirm.
At Prospera, you’ll be in the driver’s seat and have the freedom to build your practice how you see fit. Our size allows us to be nimble and make quick decisions based on your business needs. Whether you would like to tap into our practice management tools, need help setting up a fee-based model, or want to develop a marketing presence, you’ll have access to decision makers and experienced professionals to support your business.
“Prospera allows us to have the freedom to do what is best for our clients — and our practice.”
Troy Hartman | Hartman Investment Group
READY?
Transitioning your business doesn’t have to hurt.
At Prospera, we’re experienced in protocol and non-protocol transitions and we’ve built a turnkey system to make your move as easy as possible. Our transition process is so good, we have a name for it: Launch Your Way.
Our award-winning process walks you through step-by-step so that by “launch day” there aren’t any surprises. Rest assured that our dedicated team of seasoned professionals will deliver a seamless experience for you and your clients.
“The difference between Prospera and most other firms is the experience. Leadership and the home office team know us by name, know our business, and we have meaningful relationships with them. In an industry built on personal interaction, I don’t know if I could work in any other environment.”
Tony Montanari, CIMA | ACM Wealth Management
Take a closer look
Our accolades and awards speak for themselves.
Financial Planning Magazine
• #3 in Highest Growth in Producing Reps — 2022
• #4 in Advisor Payout — 2022
• #3 for Number of High-End Reps — 2016
Financial Advisor Magazine
• Top Broker-Dealer — 2022 & 2023
Investment News
• #2 Fastest-growing Independent Broker-Dealer — 2023
• #2 for Highest Average Payout — 2021–2023
• #8 for Most Net New Clients — 2023
• #2 for Percent of Reps Producing Over $500K — 2020
Investment Advisor
• Broker-Dealer of the Year* — 2019, 2018, 2015, 2014, 2012, 2010 & 2009
Investment Advisor Magazine
• Ranked #4 for Average Annual Gross Production — 2019
• Ranked #5 for Ratio of Reps-to-Home Office Support — 2019
• Top 10 for Advisor-to-Home Office Support — 2008–2012 & 2017–2019
*Award retired in 2019
• #2 for Average Assets Under Management — 2020
Awards
WealthManagement.com Industry Awards
• Winner in 2022 in the CEO of the Year category
• Winner in 2022 in the Practice Management category
• Finalist in 2021 in the Thought Leadership category
• Finalist in 2020 in the Service & Technology categories
• Winner in 2019 in the Technology category
• Winner in 2015 in the Transition Support & Service categories
Women We Admire
• #32 Top 50 Women Leaders in Virginia — Tarah Williams — 2022
Wealth Solutions Report
• “Top Women COOs” — Tarah Williams — 2022
ThinkAdvisor
Luminaries Awards — Thought Leadership & Education — 2021
(Fundamental Behaviors)
“Our ah-ha moment was meeting with Prospera in-person — it just seemed like a family unit. It made our decision easy.”
Lee Handley | Cascade Wealth Management
It’s your call
only regret is that I didn’t go independent sooner.” Jimmy Day | Day Wealth Management Independent. As in truly independent. Are you ready to work with an independent firm that trusts you? A firm that provides more access to decision makers and less bureaucracy? That has robust and flexible marketing for your business? That lets you choose how to manage your expenses? Sounds like you’re ready to be truly independent. Sounds like you’re ready for Prospera.
“My
Why wait? To experience Success Your Way™, give us a call at 1-877-737-5429 and discover the power of Prospera.
Built by advisors, for advisors. Prospera — 40 years strong — is an exclusive, boutique firm that can support you in achieving your goals with Success Your Way. We understand your challenges, concerns, and opportunities — and we offer a variety of practical, easy-to-use resources to help you explore new ways to run, grow, and protect your business. And while we remain steadfast to our size and being selective — true to our Texas roots, we believe some things are better when they’re big — like independence, flexibility, and support. prosperafinancial.com
CMP-55180
©2023 Prospera Financial Services, member FINRA/SIPC. Assets custodied through First Clearing, a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.