Unclaimed Profile

Shawn Baxter

PROSPERA FINANCIAL SERVICES, INC.·DALLAS, Texas

SIE, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 66Clean record18 years registeredPROSPERA FINANCIAL SERVICES, INC.

5429 LBJ FREEWAY, DALLAS, TX 75240CRD# 4346594Firm CRD# 10740

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Shawn Baxter · DALLAS, TX

Registration

CRD #4346594 · PROSPERA FINANCIAL SERVICES, INC. · 18 years registered

Brand Profile

Not yet started

Career History

PROSPERA FINANCIAL SERVICES, INC.

Apr 2023 – present

AVANTAX ADVISORY SERVICES

Oct 2019 – Apr 2023

IRVING, TX

1ST GLOBAL ADVISORS INC

Dec 2008 – Oct 2019

DALLAS, TX

SOUTHWEST SECURITIES, INC.

Oct 2008 – Dec 2008

DALLAS, TX

1ST GLOBAL ADVISORS INC

Jun 2008 – Oct 2008

DALLAS, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 66

Registration record

First registered · June 11, 2008

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

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

View all advisors at PROSPERA FINANCIAL SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does Shawn Baxter offer?

Shawn Baxter specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in DALLAS, Texas for a consultation.

What are Shawn Baxter's credentials?

Shawn Baxter is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Shawn Baxter located?

Shawn Baxter 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 Shawn Baxter charge for services?

Shawn Baxter'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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