Our Staff has compiled our research into a database of FINRA Broker Disclosures for Prospera Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gail M MacKler-Carlino | 1340615 | 9 | 06/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David R Chapman | 5135813 | 1 | 06/04/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Anthony Cipriano | 5366684 | 1 | 04/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Gaspar | 5772487 | 2 | 05/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Thomas Beard | 6118620 | 1 | 04/15/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Andrew Trethewey | 2964914 | 7 | 03/10/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Vincent Caruso | 704844 | 1 | 12/05/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Vincent Forktus | 1874830 | 2 | 06/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Chris S Stocks | 2600346 | 4 | 11/11/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Nunzio Rossi | 5283741 | 1 | 10/18/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |