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 |
|---|---|---|---|---|---|---|---|---|
| Ned Anthony Chatelain | 4192942 | 1 | 05/13/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Carl Michael Williams | 1721736 | 1 | 03/02/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 6 | 08/01/2022 | Customer Dispute | Pending | $300,000.00 | $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 | Pending | $0.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 03/30/2000 | Customer Dispute | Pending | $83,000.00 | $0.00 | See FINRA Report |