Prospera Financial Services

Prospera Financial Services as of Sept. 30, 2014

Portfolio Holdings for Prospera Financial Services

Prospera Financial Services holds 274 positions in its portfolio as reported in the September 2014 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
First Tr Exchange Traded Fd dorsey wrt 5 etf (FV) 6.7 $25M 1.2M 20.33
iShares Dow Jones US Healthcare (IYH) 4.8 $18M 134k 134.35
Financial Select Sector SPDR (XLF) 4.8 $18M 770k 23.17
Consumer Staples Select Sect. SPDR (XLP) 4.8 $18M 392k 45.11
iShares Dow Jones US Technology (IYW) 4.7 $18M 174k 100.76
iShares Dow Jones US Industrial (IYJ) 4.7 $18M 173k 101.13
Consumer Discretionary SPDR (XLY) 4.7 $17M 261k 66.69
Materials SPDR (XLB) 4.7 $17M 350k 49.59
Powershares Etf Tr Ii s^p500 low vol 2.6 $9.7M 280k 34.70
Eagle Materials (EXP) 2.2 $8.3M 81k 101.83
PowerShares DWA Technical Ldrs Pf 2.2 $8.2M 218k 37.45
iShares S&P US Pref Stock Idx Fnd (PFF) 1.4 $5.1M 129k 39.52
iShares S&P 500 Index (IVV) 1.3 $4.7M 24k 198.25
Altria (MO) 1.3 $4.7M 102k 45.94
At&t (T) 1.1 $4.2M 122k 34.94
Apple (AAPL) 1.1 $3.9M 45k 86.95
iShares S&P MidCap 400 Index (IJH) 1.0 $3.9M 29k 135.01
Vanguard Short-Term Bond ETF (BSV) 1.0 $3.8M 47k 80.07
Alerian Mlp Etf 0.9 $3.5M 185k 19.01
Guggenheim Bulletshs Etf equity 0.9 $3.3M 125k 26.44
Guggenheim Bulletshs Etf equity 0.9 $3.3M 125k 26.38
iShares Lehman Aggregate Bond (AGG) 0.9 $3.3M 30k 109.11
iShares iBoxx $ High Yid Corp Bond (HYG) 0.8 $3.1M 34k 91.94
Energy Transfer Partners 0.8 $3.0M 48k 63.45
SPDR Barclays Capital Convertible SecETF (CWB) 0.8 $2.8M 56k 49.66
Vanguard Mid-Cap Value ETF (VOE) 0.7 $2.6M 31k 84.91
Plains All American Pipeline (PAA) 0.7 $2.5M 42k 58.86
Claymore Etf gug blt2016 hy 0.7 $2.4M 91k 26.64
Global X Etf equity 0.7 $2.4M 100k 23.97
NuStar Energy 0.6 $2.3M 35k 65.94
Vanguard REIT ETF (VNQ) 0.6 $2.1M 30k 71.84
Verizon Communications (VZ) 0.6 $2.0M 41k 49.37
PowerShares Fin. Preferred Port. 0.5 $2.0M 111k 18.01
ProShares Ultra S&P500 (SSO) 0.5 $2.0M 17k 117.71
SPDR Nuveen Barclays Capital Build Amer 0.5 $1.9M 31k 61.15
iShares Russell 2000 Index (IWM) 0.5 $1.8M 17k 109.36
SPDR Barclays Capital Long Term Tr (SPTL) 0.5 $1.9M 27k 67.63
Spdr Series Trust barcly cap etf (SPLB) 0.5 $1.9M 46k 40.49
Vanguard Small-Cap Value ETF (VBR) 0.5 $1.7M 17k 99.74
Facebook Inc cl a (META) 0.5 $1.7M 23k 76.31
Prospect Capital Corporation (PSEC) 0.5 $1.7M 174k 9.90
Johnson & Johnson (JNJ) 0.4 $1.6M 16k 104.19
PowerShares DWA Emerg Markts Tech 0.4 $1.6M 88k 18.67
PowerShares DWA Devld Markt Tech 0.4 $1.5M 64k 24.18
Microsoft Corporation (MSFT) 0.4 $1.5M 36k 41.82
Exxon Mobil Corporation (XOM) 0.4 $1.4M 16k 88.03
First Trust Cnsumer Stapl Alpha (FXG) 0.4 $1.4M 44k 31.01
Spdr S&p 500 Etf (SPY) 0.4 $1.3M 6.8k 197.05
First Trust Health Care AlphaDEX (FXH) 0.4 $1.3M 24k 55.50
First Trust S&P REIT Index Fund (FRI) 0.3 $1.3M 66k 19.66
Calamos Convertible & Hi Income Fund (CHY) 0.3 $1.2M 88k 14.18
iShares MSCI EAFE Index Fund (EFA) 0.3 $1.2M 19k 64.10
Gopro (GPRO) 0.3 $1.2M 13k 93.66
Vanguard Utilities ETF (VPU) 0.3 $1.1M 12k 91.34
ProShares Ultra MidCap400 (MVV) 0.3 $1.1M 17k 65.64
PowerShares QQQ Trust, Series 1 0.3 $1.1M 11k 98.83
General Electric Company 0.3 $1.0M 42k 24.91
SPDR Gold Trust (GLD) 0.3 $995k 8.7k 114.38
Enterprise Products Partners (EPD) 0.2 $894k 22k 40.30
Seagate Technology Com Stk 0.2 $889k 16k 57.30
First Trust Cnsmer Disry Alpha Fnd (FXD) 0.2 $899k 38k 23.92
Gilead Sciences (GILD) 0.2 $864k 8.7k 99.08
Rydex S&P Equal Weight ETF 0.2 $843k 12k 71.37
Arrow Dow Jones Global Yield Etf etf (GYLD) 0.2 $838k 32k 26.31
BP (BP) 0.2 $812k 19k 43.93
Bank of America Corporation (BAC) 0.2 $800k 49k 16.26
Lockheed Martin Corporation (LMT) 0.2 $826k 4.8k 172.26
Starbucks Corporation (SBUX) 0.2 $816k 12k 67.64
Technology SPDR (XLK) 0.2 $813k 20k 39.92
Eaton Vance Tax Managed Buy Write Opport (ETV) 0.2 $831k 56k 14.83
Vanguard High Dividend Yield ETF (VYM) 0.2 $808k 12k 66.37
Claymore Etf gug blt2017 hy 0.2 $814k 30k 26.75
International Business Machines (IBM) 0.2 $781k 4.8k 163.29
iShares Lehman 7-10 Yr Treas. Bond (IEF) 0.2 $793k 7.7k 103.59
iShares Barclays 20+ Yr Treas.Bond (TLT) 0.2 $789k 6.8k 116.29
Powershares Exchange 0.2 $766k 37k 20.73
Flaherty & Crumrine Dyn P (DFP) 0.2 $779k 35k 22.58
United Parcel Service (UPS) 0.2 $760k 8.0k 94.57
Kimberly-Clark Corporation (KMB) 0.2 $756k 7.2k 105.32
Pepsi (PEP) 0.2 $744k 8.6k 86.64
First Trust Morningstar Divid Ledr (FDL) 0.2 $725k 31k 23.40
Total (TTE) 0.2 $708k 11k 63.10
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.2 $698k 6.4k 109.68
Market Vectors Junior Gold Min 0.2 $691k 21k 33.62
Chevron Corporation (CVX) 0.2 $686k 6.5k 106.36
AstraZeneca (AZN) 0.2 $674k 9.4k 71.47
PPL Corporation (PPL) 0.2 $663k 20k 32.82
Kinder Morgan Energy Partners 0.2 $666k 7.1k 93.28
ProShares Ultra Russell2000 (UWM) 0.2 $670k 8.8k 75.76
First Trust Ind/Prod AlphaDEX (FXR) 0.2 $673k 23k 29.36
Powershares Etf Tr Ii em mrk low vol 0.2 $663k 26k 25.58
Hasbro (HAS) 0.2 $614k 11k 54.98
Caterpillar (CAT) 0.2 $626k 7.0k 89.20
McDonald's Corporation (MCD) 0.2 $634k 7.0k 90.73
Bristol Myers Squibb (BMY) 0.2 $616k 13k 48.38
Amazon (AMZN) 0.2 $640k 2.3k 281.81
National Grid 0.2 $639k 8.9k 71.83
Vanguard Extended Market ETF (VXF) 0.2 $641k 7.7k 83.58
SYSCO Corporation (SYY) 0.2 $583k 15k 37.92
Wells Fargo & Company (WFC) 0.2 $597k 12k 48.50
Energy Select Sector SPDR (XLE) 0.2 $595k 6.6k 90.63
Permian Basin Royalty Trust (PBT) 0.2 $611k 45k 13.58
iShares S&P 500 Growth Index (IVW) 0.2 $605k 6.1k 99.54
First Trust Mult Cap Val Alpha Fnd (FAB) 0.2 $577k 13k 43.38
Powershares Senior Loan Portfo mf 0.2 $592k 24k 24.30
Cisco Systems (CSCO) 0.1 $538k 23k 23.47
Dow Chemical Company 0.1 $559k 12k 46.78
Banco Bilbao Vizcaya Argentaria SA (BBVA) 0.1 $554k 48k 11.58
Trinity Industries (TRN) 0.1 $571k 13k 45.43
iShares S&P 500 Value Index (IVE) 0.1 $571k 6.3k 90.03
SPDR Barclays Capital High Yield B 0.1 $544k 14k 40.16
First Trust Utilities AlphaDEX Fnd (FXU) 0.1 $568k 25k 22.63
First Tr Exchange Traded Fd dj glbl divid (FGD) 0.1 $540k 20k 26.62
Guggenheim Bulletshar 0.1 $573k 26k 21.74
Newlink Genetics Corporation 0.1 $557k 26k 21.42
First Tr Exch Trd Alpha Fd I europe alpha (FEP) 0.1 $557k 18k 30.77
Orange Sa (ORAN) 0.1 $571k 39k 14.73
Maxim Integrated Products 0.1 $528k 18k 30.22
Procter & Gamble Company (PG) 0.1 $520k 6.8k 76.99
Energy Transfer Equity (ET) 0.1 $535k 8.7k 61.64
Garmin (GRMN) 0.1 $529k 10k 52.04
PowerShares Dynamic Lg. Cap Value 0.1 $525k 17k 30.45
First Trust Mult Cap Grwth Alp Fnd (FAD) 0.1 $528k 12k 45.52
Powershares Etf Trust Ii 0.1 $508k 23k 22.55
Abbvie (ABBV) 0.1 $530k 9.6k 55.38
Tiptree Finl Inc cl a (TIPT) 0.1 $520k 63k 8.25
ConocoPhillips (COP) 0.1 $486k 6.8k 71.95
Vanguard Emerging Markets ETF (VWO) 0.1 $479k 12k 41.75
SPDR S&P Dividend (SDY) 0.1 $475k 6.8k 69.77
First Trust Financials AlphaDEX (FXO) 0.1 $483k 22k 21.84
Industries N shs - a - (LYB) 0.1 $485k 4.7k 103.10
Claymore Exchange-traded Fd gugg crp bd 2014 0.1 $492k 23k 21.08
Berkshire Hathaway (BRK.B) 0.1 $439k 3.2k 135.62
Eli Lilly & Co. (LLY) 0.1 $458k 7.7k 59.74
V.F. Corporation (VFC) 0.1 $451k 6.8k 66.04
Target Corporation (TGT) 0.1 $453k 8.0k 56.48
Vanguard Europe Pacific ETF (VEA) 0.1 $439k 11k 39.75
Tesla Motors (TSLA) 0.1 $429k 1.8k 242.65
Vanguard Total Stock Market ETF (VTI) 0.1 $436k 4.3k 101.16
First Trust Materials AlphaDEX Fnd (FXZ) 0.1 $428k 13k 32.15
iShares MSCI Spain Index (EWP) 0.1 $463k 12k 38.88
Vanguard Mega Cap 300 Growth Index ETF (MGK) 0.1 $462k 5.9k 77.86
Claymore Exchange-traded Fd gugg crp bd 2016 0.1 $461k 21k 22.34
Kraft Foods 0.1 $434k 7.9k 54.96
Gw Pharmaceuticals Plc ads 0.1 $451k 5.6k 80.82
Starwood Property Trust (STWD) 0.1 $425k 19k 21.97
Coca-Cola Company (KO) 0.1 $390k 10k 38.47
Pitney Bowes (PBI) 0.1 $392k 16k 24.96
Philip Morris International (PM) 0.1 $398k 4.8k 83.47
Cibc Cad (CM) 0.1 $405k 4.5k 89.96
iShares S&P 100 Index (OEF) 0.1 $403k 4.6k 88.18
First Trust Tech AlphaDEX Fnd (FXL) 0.1 $423k 13k 32.39
iShares Barclays Inter Crd Bd Fund ETF) (IGIB) 0.1 $393k 3.6k 109.44
iShares Dow Jones U.S. Index Fund (IYY) 0.1 $405k 4.1k 99.17
iShares MSCI Germany Index Fund (EWG) 0.1 $417k 15k 27.72
American Tower Reit (AMT) 0.1 $393k 4.2k 93.73
Vodafone Group New Adr F (VOD) 0.1 $394k 12k 32.89
Broadridge Financial Solutions (BR) 0.1 $354k 8.5k 41.65
3M Company (MMM) 0.1 $371k 2.9k 127.01
Sonoco Products Company (SON) 0.1 $369k 9.4k 39.32
Aegon 0.1 $386k 47k 8.21
Allergan 0.1 $374k 2.1k 178.10
GlaxoSmithKline 0.1 $381k 8.3k 46.03
Huntington Bancshares Inc pfd conv ser a 0.1 $370k 279.00 1326.16
iShares MSCI Switzerland Index Fund (EWL) 0.1 $360k 11k 32.52
iShares S&P/Citi Intl Treasury Bond (IGOV) 0.1 $367k 3.7k 99.14
PowerShares Dynamic Basic Material 0.1 $369k 6.7k 55.22
Columbia Ppty Tr 0.1 $356k 15k 23.86
Wal-Mart Stores (WMT) 0.1 $326k 4.9k 67.09
Health Care SPDR (XLV) 0.1 $328k 5.1k 63.83
Hawaiian Electric Industries (HE) 0.1 $337k 13k 26.54
Union Pacific Corporation (UNP) 0.1 $321k 3.0k 108.59
Boeing Company (BA) 0.1 $322k 3.3k 96.84
Intel Corporation (INTC) 0.1 $322k 13k 25.83
Las Vegas Sands (LVS) 0.1 $331k 5.5k 59.76
CenturyLink 0.1 $341k 8.3k 40.87
Merck & Co (MRK) 0.1 $319k 6.1k 52.56
Qualcomm (QCOM) 0.1 $344k 5.6k 61.48
Danaher Corporation (DHR) 0.1 $342k 4.5k 76.00
Accenture (ACN) 0.1 $327k 4.2k 78.57
Middleby Corporation (MIDD) 0.1 $330k 3.8k 88.00
NPS Pharmaceuticals 0.1 $336k 13k 26.03
Magellan Midstream Partners 0.1 $327k 3.9k 84.10
HCP 0.1 $351k 8.8k 39.70
Vanguard Financials ETF (VFH) 0.1 $348k 7.5k 46.44
iShares Dow Jones Select Dividend (DVY) 0.1 $334k 4.5k 73.83
First Trust DJ Internet Index Fund (FDN) 0.1 $351k 11k 33.57
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.1 $320k 3.0k 105.37
Liberty All-Star Equity Fund (USA) 0.1 $330k 57k 5.83
iShares MSCI Belgium Investable Mkt (EWK) 0.1 $337k 21k 16.34
BlackRock Global Energy & Resources Trus (BGR) 0.1 $325k 14k 23.90
Prospect Capital Corp note 0.1 $343k 333k 1.03
Phillips 66 (PSX) 0.1 $347k 4.5k 77.73
Vanguard S&p 500 Etf idx (VOO) 0.1 $348k 1.9k 180.78
Abbott Laboratories (ABT) 0.1 $306k 7.8k 39.40
Pfizer (PFE) 0.1 $311k 11k 29.53
Walt Disney Company (DIS) 0.1 $292k 4.5k 65.24
Brookfield Asset Management 0.1 $294k 6.5k 45.02
Dominion Resources (D) 0.1 $307k 4.4k 69.13
Transocean (RIG) 0.1 $312k 9.8k 31.93
Hewlett-Packard Company 0.1 $310k 8.8k 35.43
Freeport-McMoRan Copper & Gold (FCX) 0.1 $295k 9.0k 32.63
ConAgra Foods (CAG) 0.1 $310k 9.7k 32.01
Pan American Silver Corp Can (PAAS) 0.1 $289k 26k 10.98
iShares S&P SmallCap 600 Index (IJR) 0.1 $308k 3.0k 104.37
Jp Morgan Alerian Mlp Index 0.1 $289k 5.4k 53.06
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.1 $302k 40k 7.54
First Trust Energy AlphaDEX (FXN) 0.1 $283k 11k 25.83
Atlas Resource Partners 0.1 $306k 16k 19.43
Claymore Exchange Trd Fd Tr gug blt2018 hy 0.1 $279k 11k 26.68
Comcast Corporation (CMCSA) 0.1 $258k 4.8k 53.74
Automatic Data Processing (ADP) 0.1 $249k 3.0k 83.00
General Mills (GIS) 0.1 $267k 5.3k 50.47
Schlumberger (SLB) 0.1 $276k 2.8k 97.05
Westar Energy 0.1 $274k 8.0k 34.14
Consolidated Communications Holdings (CNSL) 0.1 $261k 10k 25.09
Alliant Techsystems 0.1 $246k 1.9k 127.79
BP Prudhoe Bay Royalty Trust (BPT) 0.1 $271k 2.9k 94.29
iShares S&P MidCap 400 Growth (IJK) 0.1 $250k 1.7k 151.33
WisdomTree Dividend ex-Fin Fund (AIVL) 0.1 $247k 3.4k 73.47
iShares S&P MidCap 400 Value Index (IJJ) 0.1 $250k 2.1k 120.19
Ubs Ag Jersey Brh Alerian Infrst 0.1 $273k 6.0k 45.73
Astrotech 0.1 $274k 97k 2.82
iShares 2015 S&P AMT-Free Mun Ser ETF 0.1 $264k 5.0k 52.80
New York Mortgage Trust 0.1 $263k 36k 7.24
First Trust Large Cap GO Alpha Fnd (FTC) 0.1 $245k 5.6k 43.44
Duke Energy (DUK) 0.1 $278k 3.7k 74.69
Mondelez Int (MDLZ) 0.1 $259k 8.2k 31.68
Pimco Dynamic Credit Income other 0.1 $270k 12k 22.50
Plains Gp Hldgs L P shs a rep ltpn 0.1 $263k 8.6k 30.65
Google Inc Class C 0.1 $262k 639.00 410.02
JPMorgan Chase & Co. (JPM) 0.1 $231k 4.6k 49.76
Costco Wholesale Corporation (COST) 0.1 $232k 2.1k 110.53
Norfolk Southern (NSC) 0.1 $218k 2.0k 111.39
CVS Caremark Corporation (CVS) 0.1 $223k 3.8k 59.36
Amgen (AMGN) 0.1 $208k 2.2k 95.37
Berkshire Hathaway (BRK.A) 0.1 $207k 1.00 207000.00
Walgreen Company 0.1 $206k 3.5k 59.30
Ford Motor Company (F) 0.1 $223k 15k 14.78
Lowe's Companies (LOW) 0.1 $225k 4.9k 46.39
Linn Energy 0.1 $227k 7.5k 30.18
Vanguard Intermediate-Term Bond ETF (BIV) 0.1 $226k 2.7k 84.11
BGC Partners 0.1 $225k 30k 7.44
Transcanada Corp 0.1 $207k 4.0k 51.43
NorthWestern Corporation (NWE) 0.1 $234k 5.2k 45.44
Federal Realty Inv. Trust 0.1 $237k 2.0k 118.50
iShares IBoxx $ Invest Grade Corp Bd (LQD) 0.1 $213k 1.8k 118.07
Bank Of America Corporation preferred (BAC.PL) 0.1 $224k 195.00 1148.72
Douglas Dynamics (PLOW) 0.1 $234k 12k 19.52
iShares S&P SmallCap 600 Growth (IJT) 0.1 $234k 2.6k 91.30
Vanguard Dividend Appreciation ETF (VIG) 0.1 $239k 3.2k 75.35
BlackRock Global Opportunities Equity Tr (BOE) 0.1 $212k 15k 14.13
H&Q Healthcare Investors 0.1 $222k 7.8k 28.46
First Trust Amex Biotech Index Fnd (FBT) 0.1 $212k 4.5k 47.31
Claymore Exchange-traded Fd gugg crp bd 2017 0.1 $220k 9.7k 22.79
Wisdomtree Trust futre strat (WTMF) 0.1 $233k 5.4k 43.55
Db-x Msci Japan Etf equity (DBJP) 0.1 $235k 6.1k 38.77
United Technol conv prf 0.1 $236k 4.0k 59.00
Global X Fds glbx suprinc e (SPFF) 0.1 $211k 14k 14.87
Hugoton Royalty Trust (HGTXU) 0.1 $184k 21k 8.99
Ship Finance Intl 0.1 $196k 12k 16.90
CenterState Banks 0.0 $136k 13k 10.36
Star Gas Partners (SGU) 0.0 $151k 26k 5.72
iShares Gold Trust 0.0 $130k 12k 11.08
Oi Sa-adr sp 0.0 $95k 135k 0.70
Mitek Systems (MITK) 0.0 $90k 38k 2.40
Fs Investment Corporation 0.0 $60k 36k 1.66
Essex Rental 0.0 $44k 21k 2.10
PIMCO Strategic Global Government Fund (RCS) 0.0 $28k 139k 0.20
Managed High Yield Plus Fund 0.0 $35k 18k 2.00
Ares Capital Corp 5.125 2016 conv 0.0 $21k 20k 1.05
Sirius Xm Holdings (SIRI) 0.0 $47k 15k 3.25
Dryships Inc. note 5.000%12/0 0.0 $10k 10k 1.00
Liberty Media 4.000 11/15/29 deb 4.000% 0.0 $18k 30k 0.60