This page lists the SEC filings reported by Prospera Financial Services Inc.
| Type | Filed | Filer | Subject | Shares Owned | Percent Owned | |
|---|---|---|---|---|---|---|
| SC 13G | 2017-06-02 | Prospera Financial Services Inc | ALPS ETF Trust | 10 | 12.0% | EDGAR |
| SC 13G | 2017-06-02 | Prospera Financial Services Inc | ALPS ETF Trust | 10 | 12.0% | EDGAR |
| SC 13G | 2017-06-02 | Prospera Financial Services Inc | ALPS ETF Trust | 10 | 12.0% | EDGAR |
| SC 13G | 2017-05-11 | Prospera Financial Services Inc | PowerShares Exchange-Traded Fund Trust II | 0 | 0.0% | EDGAR |
| SC 13G | 2017-05-11 | Prospera Financial Services Inc | FIRST TRUST EXCHANGE-TRADED FUND VI | 10 | 12.0% | EDGAR |
| SC 13G | 2017-05-11 | Prospera Financial Services Inc | First Trust Exchange-Traded Fund III | 10 | 12.0% | EDGAR |
| SC 13G | 2017-05-11 | Prospera Financial Services Inc | ALPS ETF Trust | 19,722 | 6.6% | EDGAR |
| SC 13G | 2017-04-03 | Prospera Financial Services Inc | FIRST TRUST EXCHANGE-TRADED FUND VI | 19,677 | 5.6% | EDGAR |
| SC 13G | 2017-03-21 | Prospera Financial Services Inc | First Trust Exchange-Traded Fund III | 8,900 | 5.9% | EDGAR |
| SC 13G | 2017-03-21 | Prospera Financial Services Inc | ALPS ETF Trust | 50,108 | 5.3% | EDGAR |
| SC 13G | 2017-03-21 | Prospera Financial Services Inc | ALPS ETF Trust | 43,552 | 6.2% | EDGAR |
| SC 13G/A | 2017-01-10 | Prospera Financial Services Inc | PowerShares Exchange-Traded Fund Trust II | 3,100 | 6.2% | EDGAR |
| SC 13G | 2016-12-09 | Prospera Financial Services Inc | PowerShares Exchange-Traded Fund Trust II | 3,100 | 6.2% | EDGAR |
| SC 13G | 2016-09-09 | Prospera Financial Services Inc | POWERSHARES DB SILVER FUND | 10 | 12.0% | EDGAR |
| SC 13G | 2016-09-09 | Prospera Financial Services Inc | SPDR SERIES TRUST | 10 | 12.0% | EDGAR |
| SC 13G | 2016-08-16 | Prospera Financial Services Inc | SPDR SERIES TRUST | 717,398 | 8.8% | EDGAR |
| SC 13G | 2016-08-16 | Prospera Financial Services Inc | POWERSHARES DB SILVER FUND | 164,758 | 5.2% | EDGAR |
| SC 13G | 2015-05-01 | Prospera Financial Services | Probe Mines Ltd | 616,348 | 1.8% | EDGAR |
| SC 13G | 2015-01-15 | Prospera Financial Services | Probe Mines Ltd | 9,369,089 | 10.3% | EDGAR |
| SC 13G | 2014-09-22 | Prospera Financial Services | FIRST TRUST EXCHANGE-TRADED FUND VI | 1,211,443 | 4.8% | EDGAR |
- Form 13F-HR
- The 13F-HR report is filed quarterly to report securities held by the filer that fall under the SEC's 13F rules.
- Form SC 13D/G
- Reported by persons and groups who own 5% or more of any class of a company's outstanding shares. If the ownership changes by 1% or more, an amendment must be filed.
- Form 3, 4, and 5
- Form 3, 4, and 5 reports are filed to report insider transactions by company officers and directors, and any beneficial owners of more than ten percent of a company's shares. Form 3 is the initial report that must be filed when a person becomes an officer, director, or beneficial owner. Form 4 reports are used to report changes in ownership, while the Form 5 report is used for reporting transactions that should have been reported earlier in a Form 4 filing.