← Tributary

PROSPECT FINANCIAL SERVICES LLC

MELVILLE, NY · CRD 314154 · IAPD ↗ · profinserv.net · 631-424-5218

$431.0MRegulatory AUM
9Advisory reps
12Employees
0Clients
0Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
February 2025 — PROSPECT FINANCIAL SERVICES LLC reported RAUM up 39% ($300.8M -> $418.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
May 2024 — PROSPECT FINANCIAL SERVICES LLC notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
March 2024 — PROSPECT FINANCIAL SERVICES LLC reported RAUM up 32% ($228.7M -> $300.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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