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We aspire to be the gold standard for boutique independent firms. Since 1982, Prospera has been a steadfast partner for independent financial professionals seeking full-service, boutique independent broker dealer expertise and support. Through our advisors, we provide clients with a superior menu of investment choices, leading-edge technology, indispensable financial tools, expert investment planning and advice, and personalized service. Named Broker Dealer of the Year by Investment Advisor Magazine in 2009, 2010, 2012, 2014, 2015, 2018, and 2019, we are consistently recognized as a top 10 player in home-office-to-staff ratio, retention rate and average production per rep. Built by advisors for advisors, the Prospera experience inspires passion, fosters independence, and supports financial advisors in achieving Success-their way.

David Stringer

President

Award Category
Broker/Dealers (Fewer Than 1,000 Advisors): Service
Initiative
Fundamental Behaviors Service Program
To help further build on our culture of personalized service, Prospera identified 28 fundamental behaviors that guide our employees’ everyday actions. These fundamentals describe the behaviors that our teams can do in their daily work lives to help achieve our aspiration of being the gold standard for boutique independent firms. From “investing in relationships” to “practicing blameless problem-solving” to “embracing change and growth”, each fundamental behavior is reinforced in our weekly huddles and monthly staff meetings where we discuss ways to manifest them in our interactions with each other and with our clients. The firm’s website and presentations to potential new advisors has a dedicated section for these fundamental behaviors that our staff follows, helping us embody our values and culture.

David Stringer

President

Award Category
Broker/Dealers (Fewer Than 1,000 Advisors): Technology
Initiative
COREngine Advisor Platform
COREngine, built in the Salesforce.com environment, offers a modern, secure and mobile advisor platform. This flexible platform, the first of its kind to integrate and leverage the Wells Fargo Clearing Services APIs for new account opening and service requests, is organized around the client relationship and allows for a cohesive experience between the clearing platform and the independent advisor platform. The platform allows everything from logging client notes from anywhere at any time (including speech to text technology), to integrations with auto-form filling, e-signature and email task and event syncing. COREngine also allows for various prospecting capabilities, including a pipeline prospecting tool and ‘process manager’, which allows advisors and their team to systemize repeatable processes and track progress- again, from anywhere at any time.
Resources
WHITE PAPER
5 reasons to join a boutique broker-dealer
Big doesn’t always mean better. Learn more about the advantages of a boutique firm and how it could advance your career.
WEBSITE
Transitioning Your Business FAQ
From picking a launch date, to setting up your office, we’ve compiled the details on transitioning to independence.
WEBSITE
Contact Us Today
Your journey starts here. Reach out today to hear more on how Prospera can help you achieve your professional goals.