PROSPECT CAPITAL SERVICES, INC.
Legal name: WESTFIELD FINANCIAL PLANNING
CRD #290102 SEC #801-111888 WESTFIELD, NJ 908-379-2706
SEC Registered
Total AUM
$190.8M
Discretionary
$178.6M
Employees
5
Clients
101
Accounts
699
Firm Details
- Organization Type
- Corporation
- State of Formation
- New Jersey
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 29, 2024
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| RICCIARDO, GERALD, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICCIARDO, GERALD, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICCIARDO, GERALD, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICCIARDO, GERALD, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICCIARDO, GERALD, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICCIARDO, GERALD, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICCIARDO, GERALD, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCOURT, MARY CAYE | I | CHIEF COMPLIANCE OFFICER AND PRINCIPAL | E | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| SWINGLE, MARK, FREDERICK | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | D | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| MCCOURT, MARY CAYE | I | OWNER | C | Control |
| HUYNH, TIMOTHY | I | PARTNER | A | |
| HUYNH, TIMOTHY | I | PARTNER | A | |
| HUYNH, TIMOTHY | I | PARTNER | A | |
| HUYNH, TIMOTHY | I | PARTNER | A | |
| HUYNH, TIMOTHY | I | PARTNER | A | |
| SONG, DANIEL, M. | I | PARTNER | A | |
| SONG, DANIEL, M. | I | PARTNER | A | |
| SONG, DANIEL, M. | I | PARTNER | A | |
| SONG, DANIEL, M. | I | PARTNER | A | |
| SONG, DANIEL, M. | I | PARTNER | A | |
| SONG, DANIEL, M. | I | PARTNER | A | |
| SONG, DANIEL, M. | I | PARTNER | A |
Registrations
Federal
IA
May 29, 2024 REGISTERED
Notice Filings (4)
FL NH NJ NY
Address
316 EAST BROAD STREETWESTFIELD, NJ 07090
United States
Phone: 908-379-2706