David Lee Shafranek

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2014 → Present
  Prospera Financial Services, Inc.
  Dallas, TX

Previous Registrations

• 2007-05-29 → 2014-04-03
  Citigroup Global Markets Inc.
  Westlake Village, CA
  Long Island City, NY
  Cos Cob, CT
  Bronx, NY
  White Plains, NY
  Boca Raton, FL
  Stamford, CT
  New City, NY
  Bronx, NY
  Stamford, CT
  Bronx, NY
  Greenwich, CT
  White Plains, NY
  Bronx, NY
• 2005-01-06 → 2007-05-29
  Citicorp Investment Services
  Bronx, NY
  Bronx, NY

Other Businesses

Executor of an Estate; Investment Related - No; 51 Mountainview, rm#226, Nyack, NY 10960; Executor; 09/2021; 0 Hours Per Month; 0 During Trading Hours; While Mr. Shafranek just helps distribute clients assets to his son or 2 Charities. Prospera NY; Investment Related - Yes; 37 Village Dr., Livingston, NJ, USA, 07039; Financial Advisor; 04/2014; 140 Hours Per Month; 130 During Trading Hours; Provides investment services for individuals, business owners and corporations through Prospera Financial Services. David Shafranek; Investment Related - No: 200 Mamaroneck Ave., White Plains, NY 10601; Subletter;10/2024; 0 Hours Per Month; 0 During Trading Hours; Subletting a single office in our office suite.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-29
• S63 Uniform Securities Agent State Law Examination
  1997-09-02

Other Names

• David L Shafranek