Theodore J. Haggerty

PROSPECT FINANCIAL SERVICES LLC

Melville, NY 11747

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CRD#: 7888340

Professional summary

Theodore Joseph Haggerty, who also goes by Theodore Haggerty, 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.

Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Theodore has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theodore Haggerty

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) LPL Financial, LLC; Investment-related; 445 Broad Hollow Rd. Ste CL-43, Melville, NY, 11747; Registered representative of a broker dealer; Registered Representative; 2/18/2025; 16 hours per month; 10 during trading hours; Financial Advisor 2) Licensed insurance agent; Not investment-related; 445 Broad Hollow Rd. Ste CL-43, Melville, NY, 11747; Insurance sales; Implementation of insurance recommendations; 10 hours per month, 0 during trading hours; Licensed insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Joseph Haggerty'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

July 3, 2025 - Present

PROSPECT FINANCIAL SERVICES LLC

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

RIA

CRD#: 314154

Melville, NY

Current

March 13, 2025 - Present

LPL FINANCIAL LLC

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

RIA

CRD#: 6413

Melville, NY

Past

May 31, 2024 - November 21, 2024

CATALYST WEALTH MANAGEMENT LLC

RIA

CRD#: 329586

HOUSTON, TX

Past

April 25, 2024 - November 12, 2024

INNOVATION PARTNERS LLC

CRD#: 146344

Houston, TX

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 York
(3/13/2025)

IAR

New York
(7/3/2025)

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: 5/31/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/25/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/27/2024

Securities Industry Essentials 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.

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Firm Stability Insights

Theodore J. Haggerty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Joseph Haggerty's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CATALYST WEALTH MANAGEMENT LLC

INNOVATION PARTNERS LLC

Primary Firm SEC Registration

PROSPECT FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2024

Series 7TO

Date: 4/25/2024

SIE

Date: 3/27/2024

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

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