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Richard Dean Pascuzzi

PROSPERA FINANCIAL SERVICES, INC.·DALLAS, Texas
SIE, Series 1, Series 7, Series 24, Series 63, Series 65, Series 79TO, Series 99TO23 years registeredPROSPERA FINANCIAL SERVICES, INC.
5429 LBJ FREEWAY, DALLAS, TX 75240CRD# 711548Firm CRD# 10740

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Richard Dean Pascuzzi · DALLAS, TX
Registration
CRD #711548 · PROSPERA FINANCIAL SERVICES, INC. · 23 years registered
Brand Profile
Not yet started
01

Career History

PFS ASSET MANAGEMENT, INC.
May 2005Dec 2005
DALLAS, TX
02

Registrations & Exams

FINRA examinations passed
SIE
Series 1
Series 7
Series 24
Series 63
Series 65
Series 79TO
Series 99TO
Registration record
First registered · June 27, 2003
Years registered · 23
03

Disclosure History

1994Customer Dispute·Award / Judgment
1994Customer Dispute·Settled
1994Customer Dispute·Settled
1994Customer Dispute·Settled
1993Customer Dispute·Settled
1993Customer Dispute·Settled
1993Customer Dispute·Settled
1993Customer Dispute·Settled
1993Customer Dispute·Settled
1993Customer Dispute·Settled
1993Customer Dispute·Settled
1992Customer Dispute·Settled
1992Customer Dispute·Settled
1992Customer Dispute·Settled
1992Customer Dispute·Settled
1992Employment Separation After Allegations
1991Customer Dispute·Settled
1991Customer Dispute·Settled
1991Customer Dispute·Settled
1991Customer Dispute·Settled
1990Customer Dispute·Settled
1990Customer Dispute·Settled
1990Customer Dispute·Settled
1990Regulatory·Final

24 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
PROSPERA FINANCIAL SERVICES, INC.
CRD 10740 · SEC 801-65845
AUM
$9.8B
Regulatory assets under management
Employees
265
23,433 client accounts
Services offered by PROSPERA FINANCIAL SERVICES, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
Pension & Retirement Plans
High Net Worth Individuals
Introduction

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05

Frequently Asked Questions

What services does Richard Dean Pascuzzi offer?
Richard Dean Pascuzzi specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in DALLAS, Texas for a consultation.
What are Richard Dean Pascuzzi's credentials?
Richard Dean Pascuzzi is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Richard Dean Pascuzzi located?
Richard Dean Pascuzzi is based in DALLAS, Texas, working with PROSPERA FINANCIAL SERVICES, INC.. Their office serves clients in the DALLAS metropolitan area and surrounding communities.
How does Richard Dean Pascuzzi charge for services?
Richard Dean Pascuzzi's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, performance-based fees, other: percentage of assets under review. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is PROSPERA FINANCIAL SERVICES, INC.?
PROSPERA FINANCIAL SERVICES, INC. has approximately 265 employees and manages $9.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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