CRD #10740 · FINRA BrokerCheck + SEC IAPD

Prospera Financial Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Prospera Financial Services, Inc. ranks #531 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #8 of 189 on the same disclosure sort used on the state browse page. Prospera Financial Services, Inc. carries 13 BrokerCheck disclosures across 171 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
171
branch offices
13
disclosures
#531 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 10740 Prospera Financial Services, Inc.

Prospera Financial Services, Inc. · Grade B · 13 disc · 0.08/office · Large firm

  • CRD 10740
  • GRADE B
  • DISC 13
  • REG 10
  • ARB 3
  • CIV 0
  • BRANCH 171
  • PER-OFF 0.08
  • RANK #531 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: CFD Investments, Inc. (0.08 disc/office)

CFD Investments, Inc.0.08Centaurus Financial, Inc.0.07Transamerica Financial …0.06Prospera Financial … (this)0.08
Disclosures per office among large firm peers (lower is cleaner)

Prospera Financial Services, Inc. ranks #531 of 20,055 by disclosure count among graded broker-dealers; light load at 0.08 disclosures per office. Verify on FINRA BrokerCheck →

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

Branch offices

171 offices

FINRA: Medium firm

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

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

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 for Prospera Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 3 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Dallas, TX
CRD Number
10740

Lower disclosures per office

Prospera Financial Services, Inc. in the heavier-disclosure third

Prospera Financial Services, Inc. carries 13 BrokerCheck disclosures across 171 branch offices - a heavier-third raw book among graded firms (#531 of 20,055). Regulator-initiated events are 77% of the book (10 regulatory / 3 arbitration / 0 civil).

Prospera Financial Services, Inc. runs 0.08 disclosures per branch office (cleaner than 89% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Prospera Financial Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Texas cohort · 3.22× state average

Prospera Financial Services, Inc. sits above the Texas disclosure average

Prospera Financial Services, Inc. reports 13 BrokerCheck disclosures, 3.22× the Texas average of 4.0 across 189 graded firms with a principal-office state on file.

In Texas, 110 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Prospera Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Prospera Financial Services, Inc. ranks #531 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #8 of 189 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
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 (regulatory, arbitration, or civil). Prospera Financial Services, Inc.'s 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
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.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Prospera Financial Services, Inc., both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (13 here).

THE Vertical Group · NJ 13 disc. Nationwide Securities, LLC · OH 13 disc. Great Point Capital LLC · IL 13 disc. Btig, LLC · CA 13 disc.

Read with this firm

  • CFD Investments, Inc. (IN) - 0.08 disclosures/office, nearest large firm peer to Prospera Financial Services, Inc.'s 0.08
  • Centaurus Financial, Inc. (CA) - 0.07 disclosures/office, nearest large firm peer to Prospera Financial Services, Inc.'s 0.08
  • Transamerica Financial Advisors, LLC (PA) - 0.06 disclosures/office, nearest large firm peer to Prospera Financial Services, Inc.'s 0.08
  • Firms in TX - state roster that includes Prospera Financial Services, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Prospera Financial Services, Inc..
  • Reading BrokerCheck Reports - How Prospera Financial Services, Inc.'s 0.08 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Prospera Financial Services, Inc..
  • Compare firms - put Prospera Financial Services, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.