Thomas J Pruzin
Investment adviser representative at Prospera Financial Services, Inc.
44 yearsExperience
1 stateRegistered in
$14.4BFirm assets
20 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsPerformance-basedOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
44 years in the industry.
- Prospera Financial Services, Inc.Sep 2024 to now
- Equity Services IncMay 2022 to Sep 2024
- National Life GroupApr 2022 to Sep 2024
- Geisen Funeral HomeAug 2021 to Apr 2022
- Pruzin BROS. Funeral Home, Pruzin & Little Funeral ServiceNov 1982 to Aug 2021
Exams passed
- Series 65 · Uniform Investment Adviser Law2022
- Series 63 · Uniform Securities Agent State Law2022
State registrations
Registered as an investment adviser representative in 1 state (IN).
Prospera Financial Services, Inc.
$14.4BAssets managed
18,584Clients
269Advisers
20 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5007601
- Firm CRD
- 10740