Prospect Financial Services LLC

Prospect Financial Services LLC is a registered investment advisor established in March 1999 and registered with the SEC in September 2021. The firm offers investment advisory services to individuals, high net worth individuals, trusts, estates, businesses, and retirement plans, acting as a fiduciary to clients. Services include tailored investment management, financial planning, and retirement plan advisory services. The firm primarily uses fundamental and technical analysis for investment strategies, focusing on long-term goals. Prospect Financial manages $418,143,884 in client assets as of December 31, 2024, on a discretionary basis. Wealth management fees range up to 2.50% annually, with fees for financial planning services ranging from $2,000 to $10,000 per engagement. The firm does not charge performance-based fees and does not accept or maintain custody of client accounts. Prospect Financial does not receive commissions for securities transactions and does not compensate for client referrals. The firm has a privacy policy in place to protect clients' personal information and shares information with third parties only for servicing accounts, not for marketing purposes. Clients have the right to limit the sharing of their personal information. For more details, clients can contact Prospect Financial at 631-424-5218.