Role at Prospera Financial Services
- Title on Schedule A
- Executive Vice President, Secretary
- Control
- Richard Pascuzzi is a control person of Prospera Financial Services.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Richard Pascuzzi has held the filed role since May 1998.
The firm
Form ADV filed 30 September 2026
Career on record
Richard Pascuzzi has been registered through Prospera Financial Services since June 2003.
- Passed Series 99TO and Series 79TO · 2023
- Passed SIE · 2018
- Pfs Asset Management, Inc.– · 1 yearDallas, TX · Adviser representative · Firm CRD 132834
- – present · 23 yearsDallas, TX · Adviser representative · Firm CRD 10740
- Passed Series 24 and Series 65 · 1997
- Passed Series 7 and Series 63 · 1981
- Passed Series 1 · 1980
Registrations and exams
Richard Pascuzzi has a current investment-adviser registration in Texas and has passed 8 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Texas | Investment adviser representative | Approved | 27 June 2003 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 22 April 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 April 1981 |
| Series 24 | General Securities Principal Examination | 1 April 1997 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 11 April 1981 |
| Series 1 | Registered Representative Examination | 1 July 1980 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Registered Representative Examination
Individual record
- Full name
- Richard Dean Pascuzzi
- CRD
- 711548
- Registration status
- Investment adviser and broker registrations
- Office
- 5429 LBJ FREEWAY, SUITE 750, Dallas, TX 75240
- Firm bio
- prosperafinancial.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Prospera identifies Richard Pascuzzi as a partner; the page says he formed Prospera with David Stringer and Tim Edwards. Official firm biography/team page
Common questions
Where does Richard Pascuzzi work?
Richard Pascuzzi has been Executive Vice President, Secretary of Prospera Financial Services, Inc. since May 1998, and is a control person of the firm.
Is Richard Pascuzzi a financial advisor?
Yes. Richard Pascuzzi has a current investment-adviser registration in Texas, through Prospera Financial Services since June 2003, as of 17 October 2026.
How many years of experience does Richard Pascuzzi have?
Richard Pascuzzi has worked in the financial industry for 46 years as of 17 October 2026, counted from 4 October 1980, across 2 adviser firms.
What exams has Richard Pascuzzi passed?
Richard Pascuzzi has passed 8 licensing exams: the Series 1, Series 7, Series 63, Series 24, Series 65, SIE, Series 99TO and Series 79TO. The earliest, the Series 1, was passed in July 1980.
Where is Richard Pascuzzi based?
Richard Pascuzzi’s registered office is in Dallas, TX.
Leadership at Prospera Financial Services
- Tarah Elizabeth WilliamsPresident, Chief Operating Officer
- Edward KernChief Financial Officer
- Shawn BaxterChief Compliance Officer
- Tim Alan EdwardsCo-CEO
- David Walter StringerCo-CEO