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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Gail M MacKler-Carlino | 1340615 | 9 | 08/21/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Trumble Ray | 2657160 | 2 | 09/30/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lyman Oscar Heidtke | 241752 | 3 | 04/10/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Vincent Forktus | 1874830 | 2 | 04/28/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lyman Oscar Heidtke | 241752 | 3 | 06/19/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Alan Yarbrough | 1139419 | 1 | 04/30/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Walter Stringer | 1410548 | 2 | 04/30/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |