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 |
|---|---|---|---|---|---|---|---|---|
| Michael Keith Kaplan | 2244085 | 2 | 03/25/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Anthony Duboise | 4553531 | 2 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Scott Lynn | 2190764 | 7 | 09/05/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shawn Quentin Sabelhaus | 3166110 | 2 | 06/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Byron Leonel Reyes | 2015796 | 2 | 04/26/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Troy Victor Hartman | 2936505 | 2 | 02/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick William Suffern | 2349901 | 1 | 11/14/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Patrick McLanahan | 2356791 | 3 | 10/18/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ralph John Fetrow | 3192637 | 1 | 09/03/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Nelson Crook | 2715424 | 2 | 07/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |