Prospect Financial Services LLC
Prospect Financial Services LLC is an SEC-registered mass-market adviser in Melville, NY with $431.0M assets under management (AUM, regulatory AUM), +3% over one year. See who owns Prospect Financial Services LLC: ownership, executives, custodians, and advisors from SEC Form ADV. CRD 314154, SEC 801-122193, data through 2026-03-09.
- AUM (assets under management / regulatory AUM)
- $431.0M (2026-03-09)
- Firm type
- Mass-Market Adviser
- Location
- Melville, NY
- Employees
- 12
- Clients
- 613
- CRD
- 314154
- Ownership
- ROONEY, SEAN, PETER; NATHAN, JAY, L; SGUEGLIA, ANTHONY, CARMINE; FAIRBROTHER, MICHAEL, FRANCES
How much AUM does Prospect Financial Services LLC have?
Prospect Financial Services LLC reported $431.0M in assets under management (regulatory AUM) on its most recent SEC Form ADV (2026-03-09).
Who owns Prospect Financial Services LLC?
Disclosed owners and executives of Prospect Financial Services LLC include ROONEY, SEAN, PETER, NATHAN, JAY, L, SGUEGLIA, ANTHONY, CARMINE, FAIRBROTHER, MICHAEL, FRANCES. Full ownership history, officer changes, and indirect owners are on the interactive profile.
View the full interactive profile on ADV.News.