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RS

Rhea A. Sampat

PRISM FINANCIAL PRODUCTS LP
New York, NY 10036
Some features on this profile are disabled
CRD#: 7574836
RS

Professional summary

Rhea A Sampat is a registered financial professional currently at PRISM FINANCIAL PRODUCTS LP located in New York, New York.

Rhea is registered as a RR (Registered Representative) and started their career in finance in 2024. Rhea has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rhea A Sampat's 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

February 6, 2024 - Present

PRISM FINANCIAL PRODUCTS LP

Office #1: 130 West 42nd Street 23rd Floor, New York, NY, 10036
BD
CRD#: 306255
New York, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(6/12/2025)
RR
Connecticut
(6/20/2025)
RR
Florida
(6/20/2025)
RR
Illinois
(7/9/2025)
RR
Massachusetts
(9/2/2025)
RR
New Jersey
(7/9/2025)
RR
New York
(7/29/2024)
RR
Texas
(8/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/6/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/12/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/14/2023
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PRISM FINANCIAL PRODUCTS LP
PRISM FINANCIAL PRODUCTS LP

CRD#: 306255 / SEC#: , 8-70465

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
130 West 42nd Street 23rd Floor, New York, NY, 10036
Mailing Address
130 West 42nd Street 23rd Floor, New York, NY, 10036
Phone number
(646) 205-6181
Established
Delaware since 02/04/2016
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PRISMFP PARTNERS LLPLIMITED PARTNER
TAZZA USA INC.LIMITED PARTNER
FRANK, CHRISTIANFINOP/CFO6288010
MARTINS DA SILVA, DAVIDCEO2777772
MARTINS DA SILVA, KEVINCCO6068590
PRISMFP GP LLCGENERAL PARTNER

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.

Company Information

PRISM FINANCIAL PRODUCTS LP

CRD#: 306255New York, NY 10036

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