Incline Village, NV Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Prospera Financial Services, inc.
Multi-team
Firm-wide stats for Prospera Financial Services, inc.
About
Prospera Financial Services, Inc. is a multi-team advisory firm with 271 advisors overseeing roughly $14.4 billion in client assets, serving individuals (including high‑net‑worth clients), retirement plans, trusts, estates, charitable organizations, and other business entities. The firm provides financial planning, portfolio management, and access to multiple advisory programs and platforms, including PFS‑sponsored Summit programs and third‑party platforms administered by Envestnet, SEI, AssetMark, and Wells Fargo.
Advisers work with clients through interviews and suitability questionnaires to set objectives and may manage accounts on a discretionary or non‑discretionary basis; Prospera offers both wrap‑fee and traditional management options and uses model portfolios, sub‑advisers, and third‑party money managers (for example, PFS Models and Schwab Marketplace Models). The firm describes ongoing monitoring, rebalancing, and annual reviews as part of its supervisory process and reported $14,387,540,045 in client assets as of June 30, 2026, with $9,785,164,394 managed on a discretionary basis.
What is notable about Prospera relative to many multi‑team peers is its dual registration as an SEC‑registered investment adviser and a FINRA member broker‑dealer, and the fact that many investment adviser representatives are also registered representatives and insurance agents; the brochure discloses that the firm and its advisers may receive commissions, insurance compensation, 12b‑1 fees, and other third‑party payments in addition to advisory fees, along with revenue‑sharing and incentive arrangements with custodians such as Wells Fargo Clearing Services (including FDIC sweep revenue sharing and incentive credits). The firm also documents prior disclosure events and program changes in its ADV (for example, Item 2 notes a removed disciplinary disclosure and the addition of the Summit Goldman program), and it participates in pooled and alternative investment programs and managed‑futures introducing activity, which the brochure highlights as potential sources of conflicts that clients should consider.
Based on Prospera Financial Services, inc.
Expertise
Based on Prospera Financial Services, inc.
Location
120 Country Club, Unit 7
Incline Village NV 89451
Advisors at this office
4
Advisors at this office
Benjamin S
Series 66
Incline Village, NV
Prospera Financial Services, inc.
Benjamin Sloves is a financial advisor at Prospera Financial Services, Inc. with seven years of industry experience. He previously worked at Morgan Stanley and its Private Bank, as well as Sierra Wellness and the University of Nevada, Reno. Outside of his advisory role, Mr. Sloves owns a clothing and shoe wholesale business. Prospera Financial Services, Inc. is a multi-team advisory firm with 271 advisors managing approximately $14.4 billion in client assets. The firm serves a diverse client base including individuals, retirement plans, trusts, estates, charitable organizations, and other business entities, offering financial planning, portfolio management, and access to multiple advisory programs and platforms.
Brittany S
Series 63, Series 66
Incline Village, NV
Prospera Financial Services, inc.
Brittany Surina is a financial advisor at Prospera Financial Services, Inc. with 13 years of industry experience. She previously worked at Morgan Stanley and City National Bank. Outside of her advisory role, she operates a book blog and maintains a social media presence related to it. Prospera Financial Services is a multi-team advisory firm with 271 advisors managing approximately $14.4 billion in client assets. The firm serves individuals, retirement plans, trusts, estates, charitable organizations, and other business entities, offering financial planning, portfolio management, and access to multiple advisory programs and platforms.
David L
Series 63, Series 65
Incline Village, NV
Prospera Financial Services, inc.
David Lummus is a financial advisor at Prospera Financial Services, Inc. with 29 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Morgan Stanley Smith Barney and Citigroup Global Markets. Outside of his advisory role, he is involved in a sole proprietorship related to real estate investment. Prospera Financial Services, Inc. is a multi-team advisory firm with 271 advisors managing approximately $14.4 billion in client assets. The firm serves individuals, retirement plans, trusts, estates, charitable organizations, and business entities, offering financial planning, portfolio management, and access to multiple advisory platforms and programs.
Ryan H
CFP®, Series 66
Incline Village, NV
Prospera Financial Services, inc.
Ryan Hyslop is a CFP® professional with 17 years of industry experience, currently advising at Prospera Financial Services, Inc. since 2020. His prior experience includes roles at Morgan Stanley and Edward Jones, spanning over a decade. Outside his advisory work, he is the owner of Arthur Holdings LLC, an entity used for managing business expenses related to wealth planning. Prospera Financial Services is a multi-team firm with 271 advisors managing approximately $14.4 billion in client assets. The firm serves individuals, retirement plans, trusts, estates, charitable organizations, and business entities, offering financial planning, portfolio management, and access to multiple advisory programs and platforms.
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