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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| David Lee Shafranek | 2919901 | 5 | 11/20/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Brian Dysart | 2025271 | 2 | 10/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee Shafranek | 2919901 | 5 | 12/05/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Peter Stephens | 3041442 | 3 | 02/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lawrence Williams | 727298 | 1 | 12/12/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Dale Stein | 722335 | 2 | 09/26/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Dale Stein | 722335 | 2 | 02/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wilfred Carter | 1396981 | 4 | 09/16/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |