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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Peter Stephens | 3041442 | 3 | 11/15/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Nathaniel Johnson | 2144489 | 1 | 05/21/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John P Cervantes | 4039372 | 2 | 04/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Dean Pascuzzi | 711548 | 24 | 10/09/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barbara Anne Hale | 1406628 | 1 | 10/16/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |