Prospera Financial Services

Prospera Financial Services as of Sept. 30, 2013

Portfolio Holdings for Prospera Financial Services

Prospera Financial Services holds 243 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Financial Select Sector SPDR (XLF) 3.9 $10M 514k 20.05
Consumer Discretionary SPDR (XLY) 3.9 $10M 168k 61.12
Materials SPDR (XLB) 3.7 $9.8M 233k 42.19
iShares Dow Jones US Industrial (IYJ) 3.7 $9.7M 107k 91.28
iShares Dow Jones US Technology (IYW) 3.7 $9.7M 122k 79.68
iShares Dow Jones US Healthcare (IYH) 3.7 $9.7M 89k 108.41
iShares Dow Jones US Energy Sector (IYE) 3.7 $9.6M 204k 47.43
iShares Dow Jones US Utilities (IDU) 3.6 $9.5M 101k 94.31
iShares S&P MidCap 400 Index (IJH) 2.2 $5.8M 46k 125.77
iShares Russell 2000 Index (IWM) 1.7 $4.4M 41k 107.84
iShares S&P US Pref Stock Idx Fnd (PFF) 1.6 $4.3M 115k 37.71
Powershares Etf Tr Ii s^p500 low vol 1.5 $4.0M 129k 31.35
Eagle Materials (EXP) 1.5 $4.0M 54k 73.89
First Trust Cnsmer Disry Alpha Fnd (FXD) 1.4 $3.7M 124k 30.01
First Trust Health Care AlphaDEX (FXH) 1.4 $3.7M 84k 43.93
At&t (T) 1.4 $3.6M 106k 34.06
PowerShares DWA Technical Ldrs Pf 1.3 $3.5M 103k 34.22
Alerian Mlp Etf 1.2 $3.2M 179k 17.74
Spdr S&p 500 Etf (SPY) 1.2 $3.1M 18k 169.33
Vanguard Short-Term Bond ETF (BSV) 1.2 $3.1M 38k 80.27
Altria (MO) 1.1 $3.0M 86k 34.71
Apple (AAPL) 1.1 $3.0M 6.1k 487.99
Energy Transfer Partners 1.1 $2.9M 56k 52.44
Guggenheim Bulletshs Etf equity 1.1 $2.8M 105k 26.64
First Trust Cnsumer Stapl Alpha (FXG) 1.0 $2.8M 83k 33.20
First Trust DJ Internet Index Fund (FDN) 1.0 $2.6M 48k 54.65
ProShares Ultra Russell2000 (UWM) 0.9 $2.4M 33k 74.61
ProShares Ultra MidCap400 (MVV) 0.9 $2.4M 22k 112.20
iShares iBoxx $ High Yid Corp Bond (HYG) 0.9 $2.4M 26k 91.53
Plains All American Pipeline (PAA) 0.9 $2.3M 44k 53.14
Guggenheim Bulletshs Etf equity 0.8 $2.1M 81k 26.58
Exxon Mobil Corporation (XOM) 0.8 $2.1M 24k 85.99
First Trust Amex Biotech Index Fnd (FBT) 0.8 $2.1M 31k 66.16
Claymore Exchange-traded Fd gugg bull 2013 0.8 $2.1M 81k 25.49
Verizon Communications (VZ) 0.8 $2.0M 43k 46.98
PowerShares QQQ Trust, Series 1 0.8 $2.0M 26k 79.67
Global X Etf equity 0.8 $2.0M 89k 22.96
PowerShares Fin. Preferred Port. 0.8 $2.0M 116k 17.08
Starbucks Corporation (SBUX) 0.7 $1.9M 25k 77.15
NuStar Energy 0.6 $1.6M 39k 40.66
iShares S&P SmallCap 600 Index (IJR) 0.6 $1.5M 15k 100.94
Vanguard REIT ETF (VNQ) 0.6 $1.5M 23k 67.11
International Business Machines (IBM) 0.6 $1.5M 8.1k 186.32
Prosperity Bancshares (PB) 0.6 $1.5M 23k 62.96
iShares S&P 500 Index (IVV) 0.5 $1.4M 8.1k 170.23
SPDR Barclays Capital High Yield B 0.5 $1.4M 34k 39.74
Johnson & Johnson (JNJ) 0.5 $1.3M 15k 87.44
iShares Barclays Inter Crd Bd Fund ETF) (IGIB) 0.5 $1.3M 12k 107.67
Microsoft Corporation (MSFT) 0.5 $1.2M 35k 33.57
iShares IBoxx $ Invest Grade Corp Bd (LQD) 0.4 $1.2M 10k 113.05
SPDR Gold Trust (GLD) 0.4 $1.1M 9.1k 124.64
Vanguard Emerging Markets ETF (VWO) 0.4 $1.1M 28k 40.94
First Trust Utilities AlphaDEX Fnd (FXU) 0.4 $1.1M 55k 20.02
First Trust Ind/Prod AlphaDEX (FXR) 0.4 $1.1M 43k 25.30
First Trust Tech AlphaDEX Fnd (FXL) 0.4 $1.1M 39k 27.62
First Trust Financials AlphaDEX (FXO) 0.4 $1.0M 51k 19.93
First Trust Materials AlphaDEX Fnd (FXZ) 0.4 $1.0M 35k 29.32
PowerShares DWA Devld Markt Tech 0.4 $1.0M 41k 25.33
First Trust Energy AlphaDEX (FXN) 0.4 $1.0M 45k 23.22
Vanguard Mid-Cap Value ETF (VOE) 0.4 $1.0M 14k 73.88
First Tr Exch Trd Alpha Fd I europe alpha (FEP) 0.4 $1.0M 33k 31.16
Vanguard Europe Pacific ETF (VEA) 0.4 $964k 24k 39.79
General Electric Company 0.3 $911k 38k 24.18
First Tr Exch Trd Alpha Fd I emerg mkt alph (FEM) 0.3 $928k 37k 24.81
Enterprise Products Partners (EPD) 0.3 $898k 15k 61.75
Vanguard Small-Cap Value ETF (VBR) 0.3 $899k 9.8k 91.32
Chevron Corporation (CVX) 0.3 $867k 7.1k 121.28
Berkshire Hathaway (BRK.B) 0.3 $832k 7.3k 114.18
Rydex S&P Equal Weight ETF 0.3 $831k 13k 65.69
Newlink Genetics Corporation 0.3 $838k 41k 20.53
iShares Barclays TIPS Bond Fund (TIP) 0.3 $811k 7.2k 112.42
Intel Corporation (INTC) 0.3 $789k 35k 22.83
Pepsi (PEP) 0.3 $779k 9.8k 79.81
PowerShares DWA Emerg Markts Tech 0.3 $797k 43k 18.46
SPDR Barclays Capital Convertible SecETF (CWB) 0.3 $790k 17k 45.36
Permian Basin Royalty Trust (PBT) 0.3 $763k 53k 14.36
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.3 $731k 6.9k 105.23
Pfizer (PFE) 0.3 $707k 25k 28.88
ConocoPhillips (COP) 0.3 $718k 10k 70.04
First Trust Morningstar Divid Ledr (FDL) 0.3 $720k 34k 20.95
Powershares Exchange 0.3 $708k 23k 30.65
McDonald's Corporation (MCD) 0.3 $684k 7.1k 96.09
SPDR S&P Dividend (SDY) 0.3 $678k 9.8k 69.49
Silver Wheaton Corp 0.2 $651k 27k 24.08
Spdr Series Trust equity (IBND) 0.2 $656k 18k 36.11
Powershares Etf Tr Ii em mrk low vol 0.2 $647k 23k 28.01
iShares MSCI EAFE Index Fund (EFA) 0.2 $631k 9.8k 64.09
Energy Select Sector SPDR (XLE) 0.2 $620k 7.4k 83.45
Kinder Morgan Energy Partners 0.2 $636k 7.9k 80.40
Royal Gold (RGLD) 0.2 $595k 12k 48.81
Vanguard Utilities ETF (VPU) 0.2 $599k 7.3k 81.85
Procter & Gamble Company (PG) 0.2 $567k 7.4k 76.14
SPDR Barclay Cp Intr Trm Cr Bd (SPIB) 0.2 $590k 18k 33.59
Bank of America Corporation (BAC) 0.2 $564k 41k 13.90
Vanguard Information Technology ETF (VGT) 0.2 $546k 6.7k 81.59
iShares S&P MidCap 400 Value Index (IJJ) 0.2 $565k 5.2k 109.31
PowerShares Dynamic Lg. Cap Value 0.2 $544k 21k 26.04
Health Care SPDR (XLV) 0.2 $527k 10k 51.18
3M Company (MMM) 0.2 $515k 4.3k 119.57
Merck & Co (MRK) 0.2 $522k 11k 48.78
iShares Lehman 7-10 Yr Treas. Bond (IEF) 0.2 $526k 5.2k 101.68
Vanguard Mega Cap 300 Growth Index ETF (MGK) 0.2 $521k 7.9k 65.97
Powershares Senior Loan Portfo mf 0.2 $536k 22k 24.67
Caterpillar (CAT) 0.2 $490k 5.8k 83.83
Cisco Systems (CSCO) 0.2 $488k 21k 23.24
SYSCO Corporation (SYY) 0.2 $497k 16k 31.87
SPDR S&P Oil & Gas Equipt & Servs. 0.2 $510k 12k 42.50
V.F. Corporation (VFC) 0.2 $463k 2.3k 198.80
Wells Fargo & Company (WFC) 0.2 $465k 11k 41.51
iShares Cohen & Steers Realty Maj. (ICF) 0.2 $470k 6.0k 78.15
iShares MSCI Germany Index Fund (EWG) 0.2 $473k 17k 28.16
iShares S&P/Citi Intl Treasury Bond (IGOV) 0.2 $471k 4.7k 101.07
Claymore Exchange-traded Fd gugg crp bd 2013 0.2 $465k 22k 20.72
Industrial SPDR (XLI) 0.2 $455k 9.7k 46.75
Guggenheim Bulletshar 0.2 $452k 21k 21.85
Tesoro Logistics Lp us equity 0.2 $454k 7.8k 58.58
Claymore Etf gug blt2016 hy 0.2 $456k 17k 26.58
Eli Lilly & Co. (LLY) 0.2 $427k 8.4k 50.68
Apache Corporation 0.2 $431k 5.0k 86.46
iShares Dow Jones Select Dividend (DVY) 0.2 $412k 6.2k 66.73
Claymore Exchange-traded Fd gugg crp bd 2014 0.2 $420k 20k 21.29
Atlas Resource Partners 0.2 $429k 20k 21.08
Philip Morris International (PM) 0.1 $406k 4.6k 87.37
Ford Motor Company (F) 0.1 $404k 24k 17.21
Energy Transfer Equity (ET) 0.1 $394k 5.9k 66.29
Pan American Silver Corp Can (PAAS) 0.1 $408k 40k 10.28
HCP 0.1 $390k 9.3k 41.94
iShares S&P SmallCap 600 Value Idx (IJS) 0.1 $402k 3.9k 103.26
Vanguard High Dividend Yield ETF (VYM) 0.1 $392k 6.8k 57.82
Hollyfrontier Corp 0.1 $385k 9.2k 41.82
Homeaway 0.1 $399k 14k 27.92
Lowe's Companies (LOW) 0.1 $371k 7.7k 48.21
Telecom Italia S.p.A. (TIIAY) 0.1 $368k 43k 8.56
Prospect Capital Corp note 0.1 $374k 360k 1.04
Wal-Mart Stores (WMT) 0.1 $336k 4.6k 73.57
CenturyLink 0.1 $342k 11k 31.74
Chesapeake Energy Corporation 0.1 $341k 13k 26.26
Magellan Midstream Partners 0.1 $330k 5.7k 57.58
Vanguard Total Bond Market ETF (BND) 0.1 $353k 4.4k 80.65
First Trust ISE Revere Natural Gas 0.1 $334k 18k 19.09
First Tr Exch Trd Alpha Fd I (FJP) 0.1 $337k 7.4k 45.73
Nationstar Mortgage 0.1 $337k 6.0k 56.17
Duke Energy (DUK) 0.1 $342k 5.1k 67.31
JPMorgan Chase & Co. (JPM) 0.1 $312k 6.0k 51.89
Bristol Myers Squibb (BMY) 0.1 $314k 6.6k 47.31
Colgate-Palmolive Company (CL) 0.1 $317k 5.3k 60.11
iShares Lehman 1-3 Year Treas.Bond (SHY) 0.1 $321k 3.8k 84.45
First Trust S&P REIT Index Fund (FRI) 0.1 $327k 18k 18.11
Wisdomtree Trust futre strat (WTMF) 0.1 $326k 7.9k 41.53
Phillips 66 (PSX) 0.1 $308k 5.3k 57.98
Dominion Resources (D) 0.1 $291k 4.7k 62.42
GlaxoSmithKline 0.1 $286k 5.6k 50.65
Vodafone 0.1 $303k 8.6k 35.32
Danaher Corporation (DHR) 0.1 $280k 4.0k 69.58
Accenture (ACN) 0.1 $279k 3.8k 73.85
El Paso Pipeline Partners 0.1 $281k 6.6k 42.73
CNO Financial (CNO) 0.1 $297k 21k 14.49
iShares S&P SmallCap 600 Growth (IJT) 0.1 $287k 2.6k 109.63
Vanguard Extended Market ETF (VXF) 0.1 $292k 3.7k 77.97
Jp Morgan Alerian Mlp Index 0.1 $277k 6.1k 45.06
Essex Rental 0.1 $301k 90k 3.33
Vanguard S&p 500 0.1 $293k 3.8k 77.62
Mitek Systems (MITK) 0.1 $295k 58k 5.06
First Tr Exch Trd Alpha Fd I (FPA) 0.1 $290k 10k 28.01
FIRST TR EXCH TRD ALPHA FD I canada alpha 0.1 $287k 7.9k 36.19
Coca-Cola Company (KO) 0.1 $268k 7.1k 37.94
Costco Wholesale Corporation (COST) 0.1 $273k 2.4k 115.09
Brookfield Asset Management 0.1 $258k 6.9k 37.62
Helmerich & Payne (HP) 0.1 $268k 3.8k 70.92
General Mills (GIS) 0.1 $261k 5.4k 48.01
Gilead Sciences (GILD) 0.1 $252k 4.0k 62.73
iShares Gold Trust 0.1 $256k 21k 12.50
Technology SPDR (XLK) 0.1 $254k 7.8k 32.38
iShares S&P 100 Index (OEF) 0.1 $273k 3.6k 75.50
Bank Of America Corporation preferred (BAC.PL) 0.1 $254k 235.00 1080.85
Huntington Bancshares Inc pfd conv ser a 0.1 $260k 209.00 1244.02
iShares Barclays Agency Bond Fund (AGZ) 0.1 $264k 2.4k 111.11
iShares 2015 S&P AMT-Free Mun Ser ETF 0.1 $266k 5.0k 53.20
United Technol conv prf 0.1 $259k 4.0k 64.75
Mondelez Int (MDLZ) 0.1 $266k 8.6k 30.80
Blackstone 0.1 $230k 9.2k 24.93
Devon Energy Corporation (DVN) 0.1 $227k 3.9k 58.69
Kimberly-Clark Corporation (KMB) 0.1 $229k 2.4k 94.20
Southern Company (SO) 0.1 $241k 5.8k 41.25
Denbury Resources 0.1 $236k 13k 18.85
Federal Realty Inv. Trust 0.1 $227k 2.2k 103.18
iShares S&P MidCap 400 Growth (IJK) 0.1 $229k 1.6k 141.10
Consumer Staples Select Sect. SPDR (XLP) 0.1 $247k 6.2k 40.01
Vanguard Total Stock Market ETF (VTI) 0.1 $249k 2.8k 88.45
Chesapeake Enrgy Cvt Ppd 4.50 cv p 0.1 $248k 2.8k 87.94
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.1 $239k 2.2k 108.64
PowerShares Emerging Markets Sovere 0.1 $236k 8.7k 27.27
Vanguard Intermediate Tm Cpte Bd ETF (VCIT) 0.1 $247k 3.0k 83.33
First Tr Exchange Traded Fd dj glbl divid (FGD) 0.1 $238k 9.2k 25.90
Qr Energy 0.1 $237k 14k 16.47
American Tower Reit (AMT) 0.1 $239k 3.2k 74.11
Emerging Markets Bear 3x 0.1 $245k 5.6k 43.75
Union Pacific Corporation (UNP) 0.1 $203k 1.3k 156.76
Automatic Data Processing (ADP) 0.1 $202k 2.8k 72.25
Praxair 0.1 $217k 1.8k 120.96
Royal Dutch Shell 0.1 $203k 3.1k 65.23
United Technologies Corporation 0.1 $207k 1.9k 107.31
Linn Energy 0.1 $206k 7.9k 25.98
Oracle Corporation (ORCL) 0.1 $204k 6.1k 33.54
PowerShares DB Com Indx Trckng Fund 0.1 $219k 8.6k 25.59
Jack Henry & Associates (JKHY) 0.1 $220k 4.2k 51.95
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.1 $223k 2.1k 104.01
Vanguard Dividend Appreciation ETF (VIG) 0.1 $218k 3.1k 70.21
iShares 2014 S&P AMT-Free Mun Ser ETF 0.1 $206k 4.0k 51.50
Powershares Etf Trust dyna buybk ach 0.1 $215k 5.5k 39.39
Facebook Inc cl a (META) 0.1 $204k 4.1k 50.31
Global X Fds glbx suprinc e (SPFF) 0.1 $219k 15k 14.65
Abbvie (ABBV) 0.1 $205k 4.5k 45.86
Flaherty & Crumrine Dyn P (DFP) 0.1 $205k 9.7k 21.21
iShares MSCI Japan Index 0.1 $181k 15k 11.86
Smith & Wesson Holding Corporation 0.1 $174k 16k 11.23
AllianceBernstein Income Fund 0.1 $172k 25k 7.01
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 0.1 $180k 14k 12.94
American Realty Capital Prop 0.1 $181k 14k 12.59
Retail Properties Of America 0.1 $185k 13k 13.98
CenterState Banks 0.1 $127k 13k 9.68
China Housing & Land Development 0.1 $140k 59k 2.39
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 0.1 $142k 15k 9.47
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.1 $136k 17k 7.84
KKR Financial Holdings 0.0 $105k 10k 10.29
Synovus Financial 0.0 $110k 33k 3.37
Liberty All-Star Equity Fund (USA) 0.0 $113k 21k 5.51
Nuveen Muni Value Fund (NUV) 0.0 $102k 11k 9.18
Wells Fargo Adv Global Dividend Opport (EOD) 0.0 $93k 13k 7.35
New York Mortgage Trust 0.0 $94k 15k 6.31
RadioShack Corporation 0.0 $66k 20k 3.37
G Willi-food International ord (WILC) 0.0 $87k 12k 7.25
Astrotech 0.0 $75k 107k 0.70
Genco Shipping & Trading 0.0 $40k 10k 3.85
Chesapeake Energy Corp note 2.250%12/1 0.0 $45k 50k 0.90
SandRidge Energy 0.0 $62k 10k 6.20
Frontier Communications 0.0 $47k 11k 4.22
Xinyuan Real Estate 0.0 $61k 10k 6.10
Sirius XM Radio 0.0 $55k 14k 4.00
Dryships Inc. note 5.000%12/0 0.0 $19k 20k 0.95
Liberty Media 4.000 11/15/29 deb 4.000% 0.0 $17k 30k 0.57
Managed High Yield Plus Fund 0.0 $35k 18k 2.00
Ares Capital Corp 5.125 2016 conv 0.0 $32k 30k 1.07