Neal D. O Sullivan

PROSPECT FINANCIAL SERVICES LLC

FARMINGDALE, NY

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CRD#: 1891959

Professional summary

Neal D O Sullivan, who also goes by Neal Daniel O Sullivan, Neal Daniel O'sullivan, Neal Daniel Osullivan, Neal Osullivan, is a registered financial advisor currently at PROSPECT FINANCIAL SERVICES LLC located in Farmingdale, New York and LPL FINANCIAL LLC located in Melville, New York.

Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Neal has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neal Daniel O Sullivan | Neal Daniel O'sullivan | Neal Daniel Osullivan | Neal Osullivan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) 08/08/2024 - PROSPECT FINANCIAL SERVICES LLC - DBA for LPL Business (entity for LPL business) - Investment Related - Melville, NY 11747. 2) 08/08/2024 - Real Estate Rental - Investment Related - Massapequa Park, NY 11762 - 1 hr/mth 3) 08/08/2024 - Real Estate Rental - Investment Related - Massapequa Park, NY 11758 - 1 hr/mth 4) 08/08/2024 - Real Estate Rental - Investment Related - New York, NY 10023 - 1 hr/mth 5) 08/08/2024 - St. Rose Basketball (CYO) - Coach/Sports/Fitness - MASSAPEQUA NY 11758 - .5 hrs/mth 6) 08/20/2024 - Prospect Financial Services LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 08/16/2024 - 40 Hours Per Month/ 5 Hours During Trading - I provide investment advisory services to Prospect Financial Services LLC, an independent investment advisor firm. I started this business activity in 8/2024. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal D O Sullivan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 16, 2024 - Present

PROSPECT FINANCIAL SERVICES LLC

RIA

CRD#: 314154

FARMINGDALE, NY

Current

August 15, 2024 - Present

LPL FINANCIAL LLC

Office #1: 445 Broadhollow Rd Ste Cl-43, Melville, NY 11747

RIA

CRD#: 6413

Melville, NY

Past

October 15, 2019 - August 16, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREAT NECK, NY

Past

October 8, 2019 - August 16, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREAT NECK, NY

Past

October 26, 2016 - September 17, 2018

FBN SECURITIES, INC.

CRD#: 18315

NEW YORK, NY

Past

February 26, 2008 - August 11, 2016

INSTINET, LLC

CRD#: 7897

NEW YORK, NY

Past

January 30, 2006 - November 12, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 27, 2006 - January 27, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 22, 2005 - January 27, 2006

INSTITUTIONAL DIRECT INC.

CRD#: 23019

NEW YORK, NY

Past

April 1, 2002 - July 1, 2005

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

May 23, 1989 - April 1, 2002

AUTRANET, LLC

CRD#: 8192

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROSPECT FINANCIAL SERVICES LLC

CRD#: 314154 / SEC#: 801-122193

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(8/20/2024)

New York
(8/15/2024)

IAR

New York
(8/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/20/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/2/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROSPECT FINANCIAL SERVICES LLC

CRD#: 314154 / SEC#: 801-122193

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

445 Broad Hollow Road Suite Cl-43, Melville, NY 11747

Mailing Address

Phone number

(631) 424-5218

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPECT FINANCIAL DISCLOSURE BROCHURE (1/31/2025)

Regulatory assets under management

Total Number of Accounts	1,178
AUM (Assets Under Management)	$ 418,143,884

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Neal D. O Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal D O Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FBN SECURITIES, INC.

INSTINET, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

INSTITUTIONAL DIRECT INC.

COWEN EXECUTION SERVICES LLC

AUTRANET, LLC

Primary Firm SEC Registration

PROSPECT FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2019

Series 63

Date: 7/20/1989

SIE

Date: 9/17/2018

Series 3

Date: 11/2/2010

Series 7

Date: 5/20/1989

FINRA

Current Firm

PROSPECT FINANCIAL SERVICES LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPECT FINANCIAL SERVICES LLC

TRUST BUT VERIFY

Contact information

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