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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 2026-03-05
LA RA APPROVED 2021-12-03
  • TX RA
    APPROVED
    Since 2026-03-05
  • LA RA
    APPROVED
    Since 2021-12-03

Branch Locations

2121 Airline Dr Ste 160, Metairie, LA 70001 • 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
Dorsey & Company, Inc. New Orleans LA 02/1989 12/2021
Prospera Financial Services Inc. Dallas TX 12/2021 Present
Previous Registrations
  • 2006-09-01 → 2021-12-03
    Dorsey & Company, Inc.
    New Orleans, LA
    New Orleans, LA
Other Businesses

WELLS RANCH, 5902 GARFIELD ST, NEW ORLEANS, LA 70115; ATACOSA COUNTY TX; NON INVESTMENT-RELATED; CO OWNER OF RANCH IN SOUTH TX ; BEEF CATTLE RANCH; LIFETIME FAMILY BUSINESS; OWNER/PROPRIETOR; SPENDING 1-9% OF HIS WEEKLY TIME; MAKE ALL BUSINESS DECISIONS AND PAY BILLS. COMPENSATION REPRESENTS 1-9% OF HIS ANNUAL INCOME. HUESACHES RANCH, 5902 GARFIELD ST, NEW ORLEANS, LA 70115; NON INVESTMENT-RELATED; RANCH IS LEASED FOR AGRICULTURE; LIFETIME FAMILY BUSINESS; OWNER/PROPRIETOR; SPENDING 1-9% OF HIS WEEKLY TIME; MAKE ALL BUSINESS DECISIONS. COMPENSATION REPRESENTS 1-9% OF HIS ANNUAL INCOME. Dorsey & Company; Investment Related - Yes; 2121 Airline Dr, Ste 160, Metairie, LA 70001; DBA; Vice President; Advisor; 12/2021; 160 Hours Per Month; 160 During Trading Hours; Providing financial planning and investment-related services.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-06
S63 Uniform Securities Agent State Law Examination 1983-07-15
  • S65 Uniform Investment Adviser Law Examination
    2000-11-06
  • S63 Uniform Securities Agent State Law Examination
    1983-07-15

View on SEC IAPD

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