Chris S Stocks

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 12/2021
  Morgan Stanley Smith Barney Llc
  Scottsdale, AZ
• 01/2015 → 12/2021
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 01/2022 → Present
  Prospera Financial Services
  Dallas, TX

Previous Registrations

• 2009-06-01 → 2021-12-08
  Morgan Stanley
  Scottsdale, AZ
• 2008-07-15 → 2009-06-01
  Morgan Stanley & Co. Llc
  Scottsdale, AZ

Other Businesses

CSTOCKS MOTORSPORTS LLC; SINGLE MEMBER LLC; located at 4800 E Hummingbird Ln., Paradise Valley, AZ 85253. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS WEEKLY TIME IN FUTURE NO CURRENT ACTIVIT; NONE DURING MARKET HOURS. NO COMPESNATION AT THIS TIME. Mr. Stocks is Managing Member of Paralysis LLC, located at 4800 E Hummingbird Ln., Paradise Valley, AZ 85253. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS WEEKLY TIME WHEN ACTIVE NOT ACTIVE IN 4 YEARS; NONE DURING MARKET HOURS. NO COMPESNATION AT THIS TIME. Mr. Stocks is Managing Member of Edge Hospitality 4800 E Hummingbird Ln., THIS BUSINESS IS NOT INVESTMENT RELATED. PASS THROUGH COMPANY THAT PAYS PAYROLL TO HOTEL EMPLOYEES. SPENDING 1-9% OF HIS WEEKLY TIME NONE DURING MARKET HOURS. NO COMPESNATION AT THIS TIME. Mr. Stocks is Managing Member of Den Htl Corp Delaware located at 4800 E Hummingbird Ln., Paradise Valley, AZ 85253. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS WEEKLY TIME NONE DURING MARKET HOURS. NO COMPESNATION AT THIS TIME. Mr. Stocks is Managing Member of CG Auto Sales LLC located at 4800 E Hummingbird Ln., Paradise Valley, AZ 85253. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS WEEKLY IN FUTURE NO CURRENT ACTIVITY TIME; NONE DURING MARKET HOURS. NO COMPESNATION AT THIS TIME. Mr. Stocks is Managing Member of Belize LLC located at 4800 E Hummingbird Ln., Paradise Valley, AZ 85253. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS WEEKLY IN FUTURE NO CURRENT ACTIVITY NONE DURING MARKET HOURS. NO COMPESNATION AT THIS TIME. Mr. Stocks is a Managing Member of Den 8888 LLC., Located at 200 W Werner Denver CO 80216. This business is not investment related overseeing and making large expenditure in the hotel division. Spending1-9% of his weekly time none during market hours. Revenue is generated from the income of hotel rentals. No compensation at this time. Arid LLC; Investment Related - Yes; Located at 4800 E Hummingbird Lane, Paradise Valley, AZ 85253; Private Company; Real Estate and Private investments; Managing Member Owner; Jun 2014; During business hours: 1-9% of his weekly time none during market hours. Arid 1 LLC: Investment Related - Yes; Located at 4800 E Hummingbird Lane, Paradise Valley, AZ 85253; Real Estate; Management; 08/2025; 5 Hours Per Month; 0 During Trading Hours; Manager of LLC Arid 912 LLC; Investment Related - Yes; 4800 E Hummingbird Lane, Paradise Valley, AZ 85253; Real Estate; Sole Member LLC, Self; 04/2026; 5 Hours Per Month; 5 During Trading Hours; A Real Estate Property Management Company for 912 Eisenhower Dr.

Exams

• S66 Uniform Combined State Law Examination
  2011-02-24
• S63 Uniform Securities Agent State Law Examination
  1995-04-21

Other Names

• Christopher Stephen Stocks