David A. Ponder

EAGLE STRATEGIES LLC

EDGEWATER, MD

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CRD#: 1658625

Professional summary

David Allen Ponder, who also goes by Dave Ponder, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Edgewater, Maryland and NYLIFE SECURITIES LLC located in Edgewater, Maryland.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. David has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Ponder

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

[APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS UNDER THE DBA PONDER FINANCIAL GROUP; INSURANCE BROKER; INVESTMENT RELATED; START DATE 04/2006] [Planned Giving Professional Advisory Committee for Maharishi University of Management; resource of professional advisors for the University's giving program.; 1000 North Fourth Street Fairfield, Iowa 52557; Start Date 03/2017; Role/Title: Chairman of Advisory Committee; Investment Related; 5 hours per month; 2 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF ALPHA SOLUTIONS GROUP FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; EDGEWATER, MD; START DATE: 06/2020]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Ponder's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 16, 2006 - Present

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

EDGEWATER, MD

Current

December 19, 2001 - Present

NYLIFE SECURITIES LLC

CRD#: 5167

EDGEWATER, MD

Past

January 10, 1997 - November 9, 2001

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

April 24, 1992 - December 13, 1996

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

July 24, 1987 - December 20, 1989

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

July 24, 1987 - December 13, 1996

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(4/18/2024)

District of Columbia
(2/25/2002)

Florida
(11/18/2008)

Maryland
(12/19/2001)

IAR

Maryland
(3/16/2006)

South Carolina
(2/10/2021)

Virginia
(12/19/2001)

West Virginia
(2/24/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/8/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/23/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

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Contact information

Main Address

51 Madison Avenue 12th Floor, New York, NY 10010

Mailing Address

51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010

Phone number

(888) 695-3245

Established

Firm type

Fiscal year end

# of Employees

2,804

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	111,361
AUM (Assets Under Management)	$ 25,395,380,570

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David A. Ponder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Ponder's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

NYLIFE SECURITIES LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA SECURITIES SALES CORPORATION

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2006

Series 63

Date: 2/3/1997

SIE

Date: 10/1/2018

Series 6

Date: 7/23/1987

FINRA

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

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