Prospera Financial Services Inc
Related Filers (7)
- ALPS ETF Trust (6)
- FIRST TRUST EXCHANGE-TRADED FUND VI (5)
- Probe Mines Ltd (4)
- PowerShares Exchange-Traded Fund Trust II (3)
- POWERSHARES DB SILVER FUND (2)
- SPDR SERIES TRUST (2)
- First Trust Exchange-Traded Fund III (2)
- Show More ...
Other (78)
13F-HR
Wednesday, 2/14/2024
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 11/13/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 8/8/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 5/12/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 2/8/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 10/27/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/8/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/4/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 2/10/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 11/12/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Monday, 8/16/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 8/12/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 5/6/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/12/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 11/4/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA-I/A
Tuesday, 10/27/2020
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I/A
Tuesday, 10/27/2020
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I/A
Tuesday, 10/27/2020
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I/A
Tuesday, 10/27/2020
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-W
Tuesday, 10/27/2020
Notice of Withdrawal from Registration as a Municipal Advisor
MA-A
Tuesday, 9/29/2020
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
13F-HR
Friday, 8/7/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 5/15/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 2/12/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 10/22/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA-A
Monday, 9/30/2019
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
13F-HR/A
Wednesday, 8/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 8/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 5/2/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 2/13/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 10/25/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA-I/A
Thursday, 10/25/2018
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-A
Thursday, 10/25/2018
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
13F-HR
Wednesday, 7/18/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 4/12/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 1/24/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 10/11/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA-A
Thursday, 9/28/2017
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
MA-I/A
Tuesday, 9/19/2017
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I/A
Friday, 9/15/2017
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
13F-HR
Wednesday, 7/19/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 4/13/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 1/11/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 10/12/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA-A
Thursday, 9/22/2016
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
MA-I
Thursday, 7/28/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
13F-HR
Tuesday, 7/26/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA-I/A
Tuesday, 7/12/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA/A
Tuesday, 7/12/2016
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
13F-HR
Tuesday, 4/12/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA-I/A
Friday, 1/29/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I
Wednesday, 1/27/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I
Wednesday, 1/27/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I/A
Wednesday, 1/27/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I
Wednesday, 1/27/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I
Wednesday, 1/27/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA/A
Wednesday, 1/27/2016
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
MA-I
Tuesday, 1/26/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-I
Tuesday, 1/26/2016
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
13F-HR
Tuesday, 1/12/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
MA
Friday, 12/11/2015
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
MA-I
Thursday, 11/19/2015
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
13F-HR
Friday, 10/16/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 8/7/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 4/22/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 1/14/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 10/16/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 7/7/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 4/4/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 2/13/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 11/4/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 8/15/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 5/7/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 2/11/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 11/6/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 8/14/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 5/14/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 2/15/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
Ownership (24)
SC 13G
Friday, 6/2/2017
ALPS ETF Trust: Major Shareholders
SC 13G
Friday, 6/2/2017
ALPS ETF Trust: Major Shareholders
SC 13G
Friday, 6/2/2017
ALPS ETF Trust: Major Shareholders
SC 13G
Thursday, 5/11/2017
First Trust Exchange-Traded Fund III: Major Shareholders
SC 13G
Thursday, 5/11/2017
PowerShares Exchange-Traded Fund Trust II: Major Shareholders
SC 13G
Thursday, 5/11/2017
ALPS ETF Trust: Major Shareholders
SC 13G
Thursday, 5/11/2017
FIRST TRUST EXCHANGE-TRADED FUND VI: Major Shareholders
SC 13G
Monday, 4/3/2017
FIRST TRUST EXCHANGE-TRADED FUND VI: Major Shareholders
SC 13G
Tuesday, 3/21/2017
ALPS ETF Trust: Major Shareholders
SC 13G
Tuesday, 3/21/2017
First Trust Exchange-Traded Fund III: Major Shareholders
SC 13G
Tuesday, 3/21/2017
ALPS ETF Trust: Major Shareholders
SC 13G/A
Tuesday, 1/10/2017
PowerShares Exchange-Traded Fund Trust II: Major Shareholders
SC 13G
Friday, 12/9/2016
PowerShares Exchange-Traded Fund Trust II: Major Shareholders
SC 13G
Friday, 9/9/2016
POWERSHARES DB SILVER FUND: Major Shareholders
SC 13G
Friday, 9/9/2016
SPDR SERIES TRUST: Major Shareholders
SC 13G
Tuesday, 8/16/2016
POWERSHARES DB SILVER FUND: Major Shareholders
SC 13G
Tuesday, 8/16/2016
SPDR SERIES TRUST: Major Shareholders
SC 13G
Friday, 5/1/2015
Probe Mines Ltd: Major Shareholders
SC 13G
Thursday, 1/15/2015
Probe Mines Ltd: Major Shareholders
SC 13G
Monday, 9/22/2014
FIRST TRUST EXCHANGE-TRADED FUND VI: Major Shareholders
SC 13G
Thursday, 5/1/2014
FIRST TRUST EXCHANGE-TRADED FUND VI: Major Shareholders
SC 13G
Monday, 4/7/2014
FIRST TRUST EXCHANGE-TRADED FUND VI: Major Shareholders
SC 13G
Tuesday, 2/4/2014
Probe Mines Ltd: Major Shareholders
SC 13G
Wednesday, 1/29/2014
Probe Mines Ltd: Major Shareholders