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Detailed Report
DAVID NATHANIEL JOHNSON
CRD#: 2144489
IA
Investment Adviser
B
Broker
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 4252 N Verrado Way
B101
Buckeye, AZ 85396
Registration History
19952000200520102015202020252 FIRMS1997 - 2004 (6 years)2 FIRMS2020 - Present (4 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2019 - 2020 (1 year)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)2004 - 2019 (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1997 (3 years)BASB FINANCIAL SERVICES (CRD# 24280)1991 - 1994 (3 years)IASUMMIT FINANCIAL GROUP INC (CRD# 109485)2005 - 2020 (15 years)
Disclosure(s)
View By:
5/21/2004
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 12/7/2020
B
North Dakota 8/5/2024
IA
Arizona 12/7/2020
B
Ohio 2/7/2024
B
Arkansas 12/7/2020
B
Oklahoma 12/8/2020
B
California 12/7/2020
B
Oregon 12/23/2020
B
Connecticut 5/8/2024
B
South Dakota 12/7/2020
B
Florida 2/23/2021
B
Tennessee 12/8/2020
B
Georgia 2/4/2021
B
Texas 12/7/2020
B
Hawaii 10/14/2024
IA
Texas 12/7/2020
B
Idaho 12/7/2020
B
Utah 12/7/2020
B
Kentucky 8/28/2023
B
Virginia 1/28/2021
B
Nevada 9/17/2024
B
Washington 12/22/2020
B
North Carolina 12/7/2020
B
West Virginia 4/11/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
4252 N Verrado Way B101, Buckeye, AZ 85396
Weatherford, TX
Registered with this firm since 12/7/2020
B
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
4252 N Verrado Way B101, Buckeye, AZ 85396
Weatherford, TX
Registered with this firm since 12/7/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/18/2005 - 12/15/2020 SUMMIT FINANCIAL GROUP INC (CRD#:109485) FORTUNA, CA
B
 09/20/2019 - 12/15/2020 CETERA ADVISOR NETWORKS LLC (CRD#:13572) FORTUNA, CA
B
 06/04/2004 - 09/20/2019 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) FORTUNA, CA
IA
 12/31/1997 - 06/18/2004 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) TUCSON, AZ
B
 10/16/1997 - 06/18/2004 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
 08/16/1994 - 11/12/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 06/17/1991 - 08/17/1994 ASB FINANCIAL SERVICES (CRD#:24280) IRVINE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.