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.
Protect Engagement Score
In Spring 2021, Prospera launched the Protect Engagement Score, hosted on our Salesforce-based advisor workstation called COREngine. The scorecard is a report, updated weekly, that lets advisors gauge where they stand from a compliance perspective. The tool gives advisors a numerical and letter grade score based on different categories that measure risk. Categories include Regulation BI trade documentation and new accounts to review, compliance hour training completion, inactive advisory attestations, and more. Teams can also see which advisors are engaged (who is opening or clicking emails) by reviewing internal Prospera email reporting. This initiative implements neither a stick nor carrot method, but invokes a self-regulatory approach, providing advisors full transparency of where they stand, and how they could easily improve their own score.
Tim Edwards and David Stringer
During their decades at Prospera, David Stringer and Tim Edwards have served in various leadership roles in the firm, and most recently teamed up as Co-CEOs back at the start of 2021. While both are involved in the strategic planning and functioning of the firm across all departments, Tim’s focus is primarily on the “Grow” side, with his hand closer in the business development, products and services, marketing, and recruiting side. David is more on the operational or “Quality” side of the firm, with a focus more on the operations, compliance, technology, and corporate strategies of the firm.