Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DAVID SCOTT LYNN
DAVE LYNN
CRD#: 2190764
IA
B
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 8100 Paseo Del Ocaso
Suite C
La Jolla, CA 92037
Suite C
La Jolla, CA 92037
View By:
12/30/2022
Judgment / Lien
12/30/2022
Judgment / Lien
12/30/2022
Judgment / Lien
9/5/2019
Employment Separation After Allegations
4/16/2019
Financial
Final
4/8/2019
Financial
Final
2/8/2019
Financial
Final
State Registrations
B
Arizona 10/10/2019
B
Minnesota 1/6/2023
B
California 10/9/2019
B
Texas 8/30/2022
IA
California 10/9/2019
B
Utah 10/30/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/9/2019
B
Registered with this firm since 10/9/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/02/2010 - 10/04/2019 | LA JOLLA, CA | |
B | 03/02/2010 - 10/04/2019 | LA JOLLA, CA | |
IA | 07/08/1997 - 03/03/2010 | LA JOLLA, CA | |
B | 12/12/1991 - 03/03/2010 | LA JOLLA, CA |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.