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Christopher Connor Stocks

Prospera Financial Services, Inc.

Paradise Valley, AZ

CRD 7497926

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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
AZ RA APPROVED 2023-06-26
  • TX RA
    APPROVED
    Since 2026-02-11
  • AZ RA
    APPROVED
    Since 2023-06-26

Branch Locations

Paradise Valley, AZ • 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
Unemployed/Student Paradise Valley AZ 01/2012 01/2022
Prospera Financial Services Dallas TX 01/2022 Present
  • 01/2012 → 01/2022
    Unemployed/Student
    Paradise Valley, AZ
  • 01/2022 → Present
    Prospera Financial Services
    Dallas, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-06-23
S63 Uniform Securities Agent State Law Examination 2023-06-20
  • S65 Uniform Investment Adviser Law Examination
    2023-06-23
  • S63 Uniform Securities Agent State Law Examination
    2023-06-20

View on SEC IAPD

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