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.

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

Jan 20, 1999earliest registration or exam on IAPD

Years in industry

27derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Jan 20, 1999

First registration

Jan 6, 2003

Dual registered

yes, broker-dealer

IAPD individual key

2528142

• Occurred

  Oct 1, 2024
  Advisor changed firm

  Philip Shields Wunderlich left B. Riley Wealth Advisors, Inc. for Prospera Financial Services, Inc. (registered 2024-09-19)

  Form ADVobserved 5 days ago
• Occurred

  Sep 20, 2024
  Advisor changed firm

  Philip Shields Wunderlich left Wunderlich Capital Management for B. Riley Wealth Advisors, Inc. (registered 2022-08-29)

  Form ADVobserved 5 days ago
• Occurred

  Dec 31, 2022
  Advisor changed firm

  Philip Shields Wunderlich left B Riley Wealth Management for Wunderlich Capital Management (registered 2003-09-08)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9ba7b133-88a8-8083-e4dc-d219b36cad92

First observed

Jan 6, 2003

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.