Prospect Financial Services LLC
● SEC registered since 2021CRD 314154SEC# 801-122193Melville, NY
Reg. AUM
$431M
Employees
12
Accounts
1,156
Location
Melville, NY
Prospect Financial Services LLC assets under management
Prospect Financial Services LLC operates as an SEC-registered investment adviser based in Melville, NY. The firm has been registered since 2021. It reports $431 million in regulatory assets under management and employs 12 people.
Prospect Financial Services LLC owners & executives
4 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Anthony Carmine Sgueglia Control | Owner | 10-25% | 2021 |
| Jay L Nathan Control | Partner | 25-50% | 2021 |
| Michael Frances Fairbrother | Owner | Under 5% | 2021 |
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Join to unlock · $37/moFrequently asked questions
How much does Prospect Financial Services LLC manage?
Prospect Financial Services LLC reports $431 million in regulatory assets under management on its Form ADV.
How many employees does Prospect Financial Services LLC have?
Prospect Financial Services LLC reports 12 employees.
Where is Prospect Financial Services LLC located?
Prospect Financial Services LLC is based in Melville, NY and has been SEC-registered since 2021.
Does Prospect Financial Services LLC disclose fund performance?
Prospect Financial Services LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 445 Broad Hollow Road, Suite Cl-43, Melville, NY 11747 |
| Phone | 631-424-5218 |
| Fax | 631-629-4579 |
| Office hours | 9:00a.m. To 5:00p.m. |
| SEC region | New York Regional Office (NYRO) |
| CIK | 2012519 |
| Discloses disciplinary history | No |
Regulatory AUM
$431M▲ 3%
Jan '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 52%
Larger than 48% of 16,271 advisers
EmployeesTop 35%
More than 65% of 16,825 advisers
Assets under management
$431Mregulatory AUM
Discretionary $431M