Investor Prospera Financial Services Inc
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Prospera Financial Services Inc . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

Add This Fund
to your dashboard

Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2017-06-02 13G RFDA / ALPS ETF Trust - RiverFront Dynamic US Dividend Advantage ETF
2017-06-02 13G RFFC / ALPS ETF Trust - ALPS Active Equity Opportunity ETF
2017-06-02 13G RFUN / ALPS Advisors Inc - RiverFront Dynamic Unconstrained Income ETF
2017-06-02 13G EQL / ALPS ETF Trust - ALPS Equal Sector Weight ETF 19,722
2017-05-11 13G SPMO / Invesco Exchange-Traded Fund Trust II - Invesco S&P 500 Momentum ETF 0
2017-05-11 13G US33739P5098 / First Trust RiverFront Dynamic Asia Pacific ETF
2017-05-11 13G FEMB / First Trust Exchange Traded Fund III - First Trust Emerging Markets Local Currency Bond ETF 8,900
2017-05-11 13G EQL / ALPS ETF Trust - ALPS Equal Sector Weight ETF 50,108 19,722
2017-05-11 13G PDBC / Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF 3,100 0
2017-03-21 13G RFFC / ALPS ETF Trust - ALPS Active Equity Opportunity ETF 43,552
2017-03-21 13G RFDA / ALPS ETF Trust - RiverFront Dynamic US Dividend Advantage ETF 50,108
2017-03-21 13G US33739P5098 / First Trust RiverFront Dynamic Asia Pacific ETF 8,900
2017-03-21 13G FEMB / First Trust Exchange Traded Fund III - First Trust Emerging Markets Local Currency Bond ETF 8,900
2017-03-21 13G EQL / ALPS ETF Trust - ALPS Equal Sector Weight ETF 50,108
2017-01-10 13G/A SPMO / Invesco Exchange-Traded Fund Trust II - Invesco S&P 500 Momentum ETF 3,100
2017-01-10 13G/A PDBC / Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF 3,100 3,100
2016-12-09 13G SPMO / Invesco Exchange-Traded Fund Trust II - Invesco S&P 500 Momentum ETF 3,100
2016-12-09 13G PDBC / Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF 3,100
2016-09-12 13G XPH / SPDR Series Trust - SPDR S&P Pharmaceuticals ETF 717,398 10
2016-09-09 13G EBND / SPDR Series Trust - SPDR Bloomberg Emerging Markets Local Bond ETF
2016-09-09 13G ELG / SPDR Series Trust 717,398
2016-09-09 13G DBS / Invesco DB Multi-Sector Commodity Trust - Invesco DB Silver Fund 164,758
2016-08-16 13G EBND / SPDR Series Trust - SPDR Bloomberg Emerging Markets Local Bond ETF 717,398
2016-08-16 13G ELG / SPDR Series Trust 717,398
2016-08-16 13G DBS / Invesco DB Multi-Sector Commodity Trust - Invesco DB Silver Fund 164,758
2016-08-16 13G XPH / SPDR Series Trust - SPDR S&P Pharmaceuticals ETF 717,398
2014-09-22 13G FV / First Trust Exchange-Traded Fund VI - First Trust Dorsey Wright Focus 5 ETF 1,211,443
2014-05-01 13G FV / First Trust Exchange-Traded Fund VI - First Trust Dorsey Wright Focus 5 ETF 1,016,201
2014-04-07 13G FV / First Trust Exchange-Traded Fund VI - First Trust Dorsey Wright Focus 5 ETF 949,525
2014-02-04 13G 8,285,081
2014-01-29 13G 7,282,187