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PROSPECT FINANCIAL SERVICES LLC

dba PROSPECT FINANCIAL SERVICES LLC · CRD 314154 · Registered Investment Adviser

PROSPECT FINANCIAL SERVICES LLC is a Registered Investment Adviser headquartered in MELVILLE, NY. The firm reports $430,992,588 in regulatory assets under management across 1,156 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$430,992,588
Non-discretionary$0
Total RAUM$430,992,588
Accounts1,156

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 314154. adviserinfo.sec.gov/firm/summary/314154.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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