PROSPECT FINANCIAL SERVICES LLC
CRD #314154 SEC #801-122193 MELVILLE, NY 631-424-5218
SEC Registered
Total AUM
$300.8M
Discretionary
$300.8M
Employees
11
Clients
0
Accounts
1,064
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 27, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| FAIRBROTHER, MICHAEL, FRANCES | I | OWNER | NA | |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| ROONEY, SEAN, PETER | I | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | D | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| NATHAN, JAY, L | I | PARTNER | C | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
| SGUEGLIA, ANTHONY, CARMINE | I | OWNER | B | Control |
Registrations
Federal
IA
Jan 27, 2025 REGISTERED
Notice Filings (11)
CA CT FL LA NC NJ NY SC TN TX VA
Address
445 BROAD HOLLOW ROADSUITE CL-43
MELVILLE, NY 11747
United States
Phone: 631-424-5218