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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-10-30
  • TX RA
    APPROVED
    Since 2009-10-30

Branch Locations

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • UNITED STATES

Mckinney, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prospera Financial Services Dallas TX 10/2009 Present
  • 10/2009 → Present
    Prospera Financial Services
    Dallas, TX
Previous Registrations
  • 2002-08-30 → 2009-11-05
    Plano, TX
    Frisco, TX
  • 1997-02-03 → 2002-09-06
    Morgan Stanley Dw Inc.
    Plano, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-06
S63 Uniform Securities Agent State Law Examination 1997-01-31
  • S65 Uniform Investment Adviser Law Examination
    1997-02-06
  • S63 Uniform Securities Agent State Law Examination
    1997-01-31

View on SEC IAPD

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