Role at Prospera Financial Services
- Title on Schedule A
- Co-CEO
- Control
- David Stringer is a control person of Prospera Financial Services.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- David Stringer has held the filed role since July 2021.
The firm
Form ADV filed 30 September 2026
Career on record
David Stringer has been registered through Prospera Financial Services since December 2004.
- Passed Series 99TO, Series 52TO and Series 79TO · 2023
- Passed SIE · 2018
- – present · 22 yearsDallas, TX · Adviser representative · Firm CRD 10740
- Passed Series 4 · 1995
- Passed Series 27 and Series 53 · 1994
- Passed Series 24 · 1992
- Passed Series 7 and Series 63 · 1985
Registrations and exams
David Stringer has a current investment-adviser registration in Texas and has passed 10 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Texas | Investment adviser representative | Approved | 17 December 2004 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 1985 |
| Series 4 | Registered Options Principal Examination | 8 May 1995 |
| Series 53 | Municipal Securities Principal Examination | 14 December 1994 |
| Series 27 | Financial and Operations Principal Examination | 5 July 1994 |
| Series 24 | General Securities Principal Examination | 21 August 1992 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 21 September 1985 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- David Walter Stringer
- CRD
- 1410548
- Registration status
- Investment adviser and broker registrations
- Office
- 5429 LBJ FREEWAY, SUITE 750, Dallas, TX 75240
- Firm bio
- prosperafinancial.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Prospera identifies David Stringer as vice chairman and co-CEO; it says he formed Prospera with partners. Official firm biography/team page
Common questions
Where does David Stringer work?
David Stringer has been Co-CEO of Prospera Financial Services, Inc. since July 2021, and is a control person of the firm.
Is David Stringer a financial advisor?
Yes. David Stringer has a current investment-adviser registration in Texas, through Prospera Financial Services since December 2004, as of 17 October 2026.
How many years of experience does David Stringer have?
David Stringer has worked in the financial industry for 41 years as of 17 October 2026, counted from 24 September 1985, across 1 adviser firm.
What exams has David Stringer passed?
David Stringer has passed 10 licensing exams: the Series 7, Series 63, Series 24, Series 27, Series 53, Series 4, SIE, Series 99TO, Series 52TO and Series 79TO. The earliest, the Series 7, was passed in September 1985.
Where is David Stringer based?
David Stringer’s registered office is in Dallas, TX.
Leadership at Prospera Financial Services
- Richard Dean PascuzziExecutive Vice President, Secretary
- Tarah Elizabeth WilliamsPresident, Chief Operating Officer
- Edward KernChief Financial Officer
- Shawn BaxterChief Compliance Officer
- Tim Alan EdwardsCo-CEO