Best Investors Account Sign in
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:

Current Employers
Prospera Financial Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-02-11
NV RA APPROVED 2020-10-13
CA RA APPROVED 2020-09-22
  • TX RA
    APPROVED
    Since 2026-02-11
  • NV RA
    APPROVED
    Since 2020-10-13
  • CA RA
    APPROVED
    Since 2020-09-22

Branch Locations

120 Country Club Unit 7, Incline Village, NV 89451 • United States

440 Stevens Ave Suite 200, Solana Beach, CA 92067 • 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
Morgan Stanley Carlsbad CA 11/2013 09/2020
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2020
Prospera Financial Services Inc. Dallas TX 09/2020 Present
Previous Registrations
  • 2013-11-26 → 2020-09-11
    San Diego, CA
    Carlsbad, CA
    Incline Village, NV
    La Jolla, CA
    Reno, NV
    Incline Village, NV
    Cardiff-By-The-Sea, CA
    Incline Village, NV
    Cardiff By The Sea, CA
  • 2009-09-21 → 2013-11-27
    Cardiff By The Sea, CA
    St Louis, MO
Other Businesses

ARTHUR HOLDINGS LLC, INVESTMENT RELATED - YES; 982 SAND IRON DRIVE, INCLINE VILLAGE, NV 89450; OWNER; LLC FOR EXPENSES; DBA SIERRA PACIFIC WEALTH MANAGEMENT; 10/2020; 180 HOURS PER MONTH; 0 DURING TRADING HOURS; COMPANY THAT I RECEIVE COMPENSATION FROM PROSPERA. THE LAKE TAHOE SCHOOL; INVESTMENT RELATED - NO; 995 TAHOE BLVD, INCLINE VILLAGE NV 89451; PRIVATE SCHOOL; BOARD MEMBER; 02/2024; 4 HOURS PER MONTH; 1 DURING TRADING HOURS; REVIEW BUDGET AND CAPITAL ALLOCATIONS FOR SCHOOL BUDGET.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-18
  • S66 Uniform Combined State Law Examination
    2009-09-18
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Incline Village, NV

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor