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Chief Compliance Officer · Prospera Financial Services, Inc.

Shawn Baxter

CRD 4346594 · Named on Form ADV at one SEC-registered adviser

At a glance

Prospera Financial Services, Inc., an SEC-registered broker-dealer firm based in Dallas, TX with $14.4 billion in regulatory assets, lists Shawn Baxter on its Form ADV as Chief Compliance Officer.

Firms and roles

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Shawn’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Shawn’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.