Chris Stocks
Chris Stocks is a registered investment advisor at Prospera Financial Services, INC., based in Paradise Valley, AZ, with 30 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
Paradise Valley, AZ
Get directionsHistory
Regulatory History (4)
Regulatory
December 2024Employment Separation After Allegations
November 2021Customer Dispute
June 2002Customer Dispute
June 2001Other Business Activities
Chris is a managing member of several LLCs including CStocks Motorsports LLC, Paralysis LLC, Edge Hospitality, Den Htl Corp Delaware, CG Auto Sales LLC, Belize LLC, Den 8888 LLC, and Arid LLC. He dedicates minimal time to each of these ventures, with Arid LLC being investment related.
Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.