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Prospera Financial Services, Inc. CRD 10740
$12.4B regulatory AUM 14 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-24 |
| CA | RA | APPROVED | 2024-05-22 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Phoenix | AZ | 06/2014 | 04/2024 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 04/2024 |
| Prospera Financial Services Inc | Dallas | TX | 05/2024 | Present |
CIP Holdings, L.L.C.; 3026 Runion Dr.; 1812 W 6th Street; 26433 N 42nd Way; 424 W Brown Rd #111; 4211 Yorkshire Dr; Investment Related - No: Rental Real Estate - Long term rentals in AZ; Owner; 05/2024; 5 Hours per Month; 0 During Trading Hours; Collect Rental Income and Maintain Properties. CIP Investment Partners; Investment Related - Yes 1122 Avenida Amantea La Jolla, CA 92037;DBA; Owner; Advisor; 02/2025; 160 Hours Per Month; 160 During Trading Hours; Providing financial planning and investment-related services.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2007-07-28 |
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