Michael A. Goldfeder

PROSPECT FINANCIAL SERVICES LLC

Melville, NY 11747

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CRD#: 2542820

Professional summary

Michael Allan Goldfeder, CFP® is a registered financial advisor currently at PROSPECT FINANCIAL SERVICES LLC located in Melville, New York and LPL FINANCIAL LLC located in Melville, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Education Planning

Business Succession Planning

Retirement Planning

Estate Planning

Tax Planning

Investment Planning

Comprehensive Financial Planni...

What is your minimum asset requirement?

250K

Are you a "fiduciary"?

Yes

Aliases

None

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. 7/24/2020 - Prospect Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 7/24/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 1997 - 20 Hours Per Month - Time Spent 2% - Agent selling whole life, universal life, indexed universal life, fixed annuities, disability, and LTC. 3. 1/11/2022 - Prospect Financial Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/01/2022 - 100 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Prospect Financial Services LLC, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 100 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allan Goldfeder'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

December 21, 2021 - Present

PROSPECT FINANCIAL SERVICES LLC

Office #1: 445 Broad Hollow Road Suite Cl-43, Melville, NY 11747

RIA

CRD#: 314154

Melville, NY

Current

July 24, 2020 - Present

LPL FINANCIAL LLC

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

RIA

CRD#: 6413

Melville, NY

Past

August 30, 2021 - December 31, 2021

THE PINNACLE FINANCIAL GROUP

RIA

CRD#: 164395

MELVILLE, NY

Past

September 6, 2011 - July 27, 2020

OSAIC FA, INC.

RIA

CRD#: 3978

MELVILLE, NY

Past

August 22, 2011 - July 27, 2020

OSAIC FA, INC.

CRD#: 3978

MELVILLE, NY

Past

August 3, 2007 - July 28, 2011

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

UNIONDALE, NY

Past

August 3, 2007 - July 28, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

UNIONDALE, NY

Past

June 13, 2005 - July 24, 2007

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEW YORK, NY

Past

October 18, 2004 - July 24, 2007

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 29, 2002 - October 25, 2004

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

October 10, 1997 - May 14, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 29, 1994 - October 23, 1997

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

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

Florida
(7/24/2020)

Georgia
(7/24/2020)

New Jersey
(7/24/2020)

New York
(7/24/2020)

IAR

New York
(12/21/2021)

Virginia
(7/24/2020)

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 65

Date: 6/9/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/21/2009

General Securities Principal 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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Michael A. Goldfeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allan Goldfeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

THE PINNACLE FINANCIAL GROUP

OSAIC FA, INC.

OSAIC FA, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

DAVID LERNER ASSOCIATES, INC.

Primary Firm SEC Registration

PROSPECT FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2005

Series 63

Date: 10/13/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/28/1994

Series 24

Date: 1/21/2009

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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