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 |
| Jodi Hilary Maples | 4884649 | 1 | 11/13/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Erin Elaine Thomas | 7608918 | 4 | 06/19/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Erin Elaine Thomas | 7608918 | 4 | 06/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Elaine Thomas | 7608918 | 4 | 06/19/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Erin Elaine Thomas | 7608918 | 4 | 06/19/2019 | 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 | 7 | 04/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 7 | 04/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 7 | 02/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |