Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Stocks is an investment advisor representative with Prospera Financial Services, Inc. Chris Stocks has been in the financial services industry since May 20, 1995. Chris Stocks is registered with the state of Arizona and has been with Prospera Financial Services, Inc. since January 2022. Chris Stocks specializes in a variety of investment products and services, including financial planning, pension consulting, and portfolio management for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
AZ
01/12/2022 - Present
Prospera Financial Services, Inc. (Paradise Valley AZ)
AZ
06/01/2009 - 12/08/2021
MORGAN STANLEY (Scottsdale AZ)
AZ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SCOTTSDALE AZ)
AZ
04/19/1995 - 04/02/2007
MORGAN STANLEY DW INC. (SCOTTSDALE AZ)
BOTH
Issued 02/24/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 04/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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