Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS1992 - 2007 (14 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2021 (11 years)2 FIRMS2021 - Present (4 years)
Disclosure(s)
View By:
3/25/2021
Employment Separation After Allegations
5/23/2002
Customer Dispute
Settled
License(s)

State Registrations

B
California 3/25/2021
B
North Carolina 10/7/2024
B
Colorado 3/25/2021
B
Ohio 3/21/2023
B
Florida 3/25/2021
B
Texas 3/25/2021
B
Georgia 3/30/2021
IA
Texas 3/25/2021
B
Kentucky 10/16/2024
B
Vermont 3/25/2021
B
New York 3/25/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
Houston, TX
Registered with this firm since 3/25/2021
B
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
Houston, TX
Registered with this firm since 3/25/2021
Previous Registration(s)
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IA
 06/01/2009 - 04/06/2021 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
 06/01/2009 - 04/06/2021 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) HOUSTON, TX
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) HOUSTON, TX
IA
 06/26/1992 - 04/02/2007 MORGAN STANLEY (CRD#:7556) HOUSTON, TX
B
 06/22/1992 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.