DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

JONATHAN MARK RAWLINGS

Advisor at PROSPERA FINANCIAL SERVICES, INC.

Ridgway, CO | Dallas, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:06cbe539-9fb6-216a-4d61-3c953fa7e7d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Feb 18, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PROSPERA FINANCIAL SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 9, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Apr 9, 2004
First registration: Feb 18, 2005
Dual registered: yes, broker-dealer
Other names: MARK RAWLINGS
IAPD individual key: 4762750

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Sep 21, 2023	n/a	yes	Dallas, TX\|Ridgway, CO	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	Sep 5, 2023	Oct 12, 2023	no	DALLAS, TX\|DALLAS, TX	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Nov 1, 2017	Nov 13, 2017	no	HOUSTON, TX\|IRVING, TX	Previous registration
GIRARD SECURITIES, INC.	Former SEC adviser	Sep 14, 2012	Nov 1, 2017	no	DALLAS, TX\|IRVING, TX\|SAN DIEGO, CA\|HOUSTON, TX	Previous registration
UNITED CAPITAL FINANCIAL ADVISORS	Independent wealth	Mar 6, 2007	Oct 13, 2023	no	DALLAS, TX\|IRVING, TX\|DALLAS, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 7, 2005	Feb 26, 2007	no	DALLAS, TX\|DALLAS, TX	Previous registration
BOK FINANCIAL ADVISORS	Bd affiliated wealth	Feb 18, 2005	Jul 25, 2005	no	DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UNITED CAPITAL FINANCIAL ADVISORS	GIRARD SECURITIES, INC.	Oct 13, 2023	Sep 14, 2012	-4,046	Firm change after gap	Other
HILLTOP SECURITIES INC.	PROSPERA FINANCIAL SERVICES, INC.	Oct 12, 2023	Sep 21, 2023	-21	Firm change	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	HILLTOP SECURITIES INC.	Nov 13, 2017	Sep 5, 2023	2,122	Firm change after gap	Other
GIRARD SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Nov 1, 2017	Nov 1, 2017	0	Bulk transfer	Other
WELLS FARGO ADVISORS	UNITED CAPITAL FINANCIAL ADVISORS	Feb 26, 2007	Mar 6, 2007	8	Firm change	Other
BOK FINANCIAL ADVISORS	WELLS FARGO ADVISORS	Jul 25, 2005	Oct 7, 2005	74	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
134600:18697:TX:2023-10-13	Oct 13, 2023	Sep 14, 2012	DALLAS, TX	Firm change after gap
6220:10740:TX:2023-10-12	Oct 12, 2023	Sep 21, 2023	DALLAS, TX	Firm change

Relationships

Registered with (7)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Sep 21, 2023 to presentfactForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Mar 6, 2007 to Oct 13, 2023factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Sep 5, 2023 to Oct 12, 2023factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Nov 1, 2017 to Nov 13, 2017factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Sep 14, 2012 to Nov 1, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 7, 2005 to Feb 26, 2007factForm ADV
→ BOK FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Feb 18, 2005 to Jul 25, 2005factForm ADV

Dated events

Occurred
Oct 13, 2023
Advisor changed firm
Jonathan Mark Rawlings left United Capital Financial Advisors for Girard Securities, Inc. (registered 2012-09-14)
Form ADVobserved 5 days ago
Occurred
Oct 12, 2023
Advisor changed firm
Jonathan Mark Rawlings left Hilltop Securities Inc. for Prospera Financial Services, Inc. (registered 2023-09-21)
Form ADVobserved 5 days ago