Branch offices
171 offices
FINRA: Medium firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #10740 · FINRA BrokerCheck + SEC IAPD
Prospera Financial Services, Inc.
Prospera Financial Services, Inc. carries 13 BrokerCheck disclosures across 171 branch offices - light load for a large firm, earning a Grade B.
- Grade B
- Safety grade
- 171
- branch offices
- 13
- disclosures
- 0.08
- per office
PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
13 events
On FINRA BrokerCheck
Regulatory events
10 actions
77% of all disclosures
Disclosures per office
0.08 per office
13 ÷ 171 offices
Prospera Financial Services, Inc. vs. every disclosing firm
Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)
0 Among the cleanest for its size a cleaner per-office record than 89% of 1,251 disclosing firms
Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.
Source FINRA BrokerCheck · SEC IAPD · 2026
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 10 |
| Arbitrations | 3 |
| Civil Events | 0 |
| Total | 13 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 10 Arbitration 3 Civil 0
Disclosure Profile
Prospera Financial Services, Inc.'s disclosure record, broken down by category and footprint.
Disclosures per office
0.08
Light load
Regulatory share
77%
of total disclosures
Size class
Large firm
171 branches
Firm Details
- Firm Size
- Medium
- Scope
- ACTIVE
- Location
- Dallas, TX
- CRD Number
- 10740
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Prospera Financial Services, Inc.
Prospera Financial Services, Inc. (broker-dealer, CRD# 10740 · Dallas, TX) operates 171 branch offices - a large firm (FINRA: medium), scope ACTIVE.
BrokerCheck shows 13 disclosures as of July 2026 (about 0.08 per branch office): 10 regulatory, 3 arbitration, 0 civil. Letter grade B (4/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of B mean for Prospera Financial Services, Inc.?
A grade of B reflects Prospera Financial Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 13 total disclosures across 171 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Prospera Financial Services, Inc. have?
Prospera Financial Services, Inc. has 13 total FINRA disclosures, including 10 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Prospera Financial Services, Inc.?
Prospera Financial Services, Inc. operates 171 branch offices and is classified by FINRA as a medium firm, registered in TX (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Prospera Financial Services, Inc.'s disciplinary record?
You can verify Prospera Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10740. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Prospera Financial Services, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Prospera Financial Services, Inc. carries 13 disclosures across 171 branch offices (about 0.08 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
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Read our methodology - how this data is sourced, computed, and verified.
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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.