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PROSPECT FINANCIAL GROUP LLC

· CRD 133953 · IAPD ↗ · prospect-group.com · (703) 852-9673

$204.4MRegulatory AUM
2Advisory reps
2Employees
1Clients
1-10Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
August 2026 — PROSPECT FINANCIAL GROUP LLC notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
April 2026 — PROSPECT FINANCIAL GROUP LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
February 2026 — PROSPECT FINANCIAL GROUP LLC notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
March 2025 — PROSPECT FINANCIAL GROUP LLC notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2024 — PROSPECT FINANCIAL GROUP LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.