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 |
|---|---|---|---|---|---|---|---|---|
| Wilfred Carter | 1396981 | 4 | 06/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Patrick McLanahan | 2356791 | 3 | 07/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Ray Oakes | 1465154 | 4 | 03/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Ray Oakes | 1465154 | 4 | 05/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Speicher | 3182318 | 1 | 05/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 5 | 04/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 5 | 04/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 5 | 02/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee Shafranek | 2919901 | 5 | 04/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Leon Evans | 202828 | 2 | 04/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |