PROSPERA FINANCIAL SERVICES - Key Persons
Job Titles:
- Member of the Senior Leadership Team
Job Titles:
- Member of the Leadership Team
- Director, Launch Solutions
Job Titles:
- Director of Operations
- Member of the Leadership Team
Barbara Hale, Director of Operations, is a company rock-star when it comes to client service. With over 35 years of experience in our industry, she is an operations expert and specializes in building processes and systems to accommodate an expanding business. When complicated or escalated issues inevitably arise, Barbara is the lady.
Barbara's passion for excellence and investment in relationships can be seen and felt throughout the firm by the culture she establishes and values she lives every day.
Job Titles:
- Member of the Leadership Team
- Director, Strategic Solutions
Job Titles:
- Member of the Senior Leadership Team
- Co - CEO and Managing Partner
- Co - CEO, Managing Partner
As Co-CEO and Managing Partner, David Stringer has more than 30 years of experience in the wealth management industry. Acting as a champion for innovation and fostering a consultative approach, he has instilled a discipline for continuous improvement throughout the organization.
David, along with his 2 partners, formed Prospera to make a positive difference in the lives of other financial advisors like him. Since that time, David and Prospera have remained true to the original vision of providing "Success your way", where all affiliated business owners can define their own brand of success and thrive. He has dedicated his professional career to the goals of quality over quantity and appreciating and supporting the roles that advisors play in the lives of their clients.
David's commitment to the industry is evident in the leadership he has provided on several industry boards and regulatory committees, including most recently the FSI Board of Directors, FINRA District 6 Business Conduct Committee and the FINRA Regional Advisory Committee.
Job Titles:
- Chief Financial Officer
- Member of the Senior Leadership Team
Ed Kern, Chief Financial Officer, is the champion of Prospera's key success factor of ensuring "disciplined financial performance". Ed's extensive experience of almost 20 years in the financial industry makes him a key leader within Prospera. His background includes experience in business planning and analysis, financial management, regulatory reporting, accounting team leadership, and mergers and acquisitions. Each day, Ed is charged with building a strong financial foundation for the firm while keeping a keen eye on the overall value-added picture.
Job Titles:
- Member of the Senior Leadership Team
- Managing Director, Advisor Services
Job Titles:
- Director of Business Development
- Member of the Leadership Team
- Business Development Team
Kim serves as Director of Business Development on the Prospera Grow team. Kim brings with her over 25 years of experience in the business, serving in various leadership roles at Wells Fargo Advisors since 1993. At Prospera, Kim is focused on amplifying our message with prospective advisors. She strives for Prospera to be the firm that comes to mind when financial advisors think "independence." Kim is a graduate of Washington College and the Securities Industry Institute at the Wharton School of Business and Commerce.
Job Titles:
- Director of Technology
- Director, Information Technology
- Member of the Leadership Team
Marco Galvan, Director of Technology, has been a powerhouse for Prospera's technology infrastructure for over 10 years. With his extensive experience in program and project management, he has developed an invaluable toolbox of methods to enhance the user experience of both staff and advisors. Fueled by a passion for service, he is always on the hunt for ways our advisors can maximize client relationships. Marco's consultative approach for the unique needs of our advisors adds to the many ways Prospera is able to be nimble, yet mighty.
Job Titles:
- Member of the Senior Leadership Team
- Managing Director of Investments
- Managing Director, Investments & Advisory Solutions
Paul Keeton, Managing Director of Investments & Advisory Solutions, is in charge of developing and executing the firm's advisory program, products and services, and fixed income desk. Referred to by one of our advisors as a "walking brain", Paul is a graduate of the Virginia Military Institute with a degree in Civil Engineering and began his career in finance with Dorsey, Wright & Associates in 1997. He's since helped shape and grow Prospera's advisory offerings into what it is today, and we're so lucky to have him on our team.
Job Titles:
- Member of the Senior Leadership Team
- Partner
A Partner of Prospera, Richard has nearly 40 years of experience in the wealth management industry. Known as ‘the voice of the advisors', Richard's keen sense of client relationships and the critical role that advisors play in their clients' lives, makes Richard a critical component of the Prospera team.
Richard, along with his partners, David and Tim, formed Prospera to make a positive difference in the lives of other financial advisors like him. Since that time, Richard and Prospera have remained true to the original vision of providing "Success your way", where all affiliated business owners can define their own brand of success and thrive. In fact, while David and Tim spend most of their time running the firm, Richard himself spends most of his time running a successful wealth management practice within Prospera.
Job Titles:
- Member of the Leadership Team
- Chief Compliance Officer, Director of Risk
Robert serves Prospera in the role of Chief Compliance Officer and Director of Risk. This role is dedicated to overseeing the business-related risk management functions at both the corporate level and in partnership with advisor activities.
Robert has been in the industry for 20 years, most recently with Cain Watters as CCO. He has also served in various compliance positions at national wealth management firms and FINRA. Robert brings a strong knowledge of the rules, paired with a positive, advisor-focused attitude with him to Prospera. He is a graduate of UTSA and holds his Series 7, 24, 50, 53, 66, and 79.
Job Titles:
- COO
- Member of the Senior Leadership Team
- President
Tarah Williams, President & COO, has over 26 years of experience in the financial services industry. Tarah brings a strong sense of strategy and vision to everything she does at Prospera. Her ability to understand the big picture, coupled with a keen eye for detail, consistently allows her to focus on providing a gold-standard client experience in everything that she takes on.
A leader with broad experience and expertise, Tarah plays a strong role in shaping the strategic mission of Prospera while also focusing on the fine details of day-to-day operations.
Throughout her time in the industry, she has served on many conference panels and conducted numerous seminars in her fields of expertise, which include recruiting, client experience, risk management, and marketing for the broker-dealer marketplace. Being an avid writer, she has also published numerous white papers and articles on industry-specific topics.
Job Titles:
- Member of the Senior Leadership Team
- Co - CEO, Managing Partner
Job Titles:
- Member of the Leadership Team
Job Titles:
- Member of the Senior Leadership Team
- Managing Director of Human Resources
Wendy Simmons, Managing Director of Human Resources, is a champion for attracting and retaining great talent for Prospera's team. With 2 decades of experience within innovative and high-growth organizations, she brings extensive experience in people management, process management, strategic planning, leadership development, and training and development. From managing the hiring process to ensuring a culture of excellence is found consistently throughout the company, Wendy epitomizes leadership from the inside out.
Job Titles:
- Member of the Leadership Team
- Director, Supervision & Audit
- Director, Supervision & Audit / Business Development
Job Titles:
- General Counsel
- Member of the Senior Leadership Team
Will Schmitt, General Counsel, manages litigation, regulatory affairs, and corporate governance for Prospera. With over a decade of experience helping advisors manage ever-changing regulatory risk and examinations, Will also works alongside Prospera advisors through any restrictive covenants and contractual obligations to help them find their path to true independence.
Although his background is law, Will provides our advisors with a sense of security and serves as a teacher and educator on how to handle things from the eyes of a business owner.