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PROSPECT FINANCIAL SERVICES LLC
CRD 314154 · SEC 801-122193
445 BROAD HOLLOW ROAD, SUITE CL-43, MELVILLE, NY, 11747, United States
Phone
631-424-5218
Fax
631-629-4579
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$431.0M
Discretionary AUM
$431.0M
Team
12 total employees; 9 advisory reps
Clients
0
Fees
Percentage of AUM; Fixed fees
Org form
Limited Liability Company
Filing date
2026-03-09
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)Pension consultingSelection of other advisers
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 446 | $120.2M |
| High net worth individuals | 74 | $209.8M |
| Pension/profit sharing plans | 77 | $98.8M |
| Corporations/business entities | 16 | $2.3M |
States served
CA, NJ, NY, NC, SC, TN, VA, TX, CT, FL
All web addresses on file
Official SEC filing: View on IAPD