This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

PROSPECT FINANCIAL SERVICES LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jul 20, 1989earliest registration or exam on IAPD

Years in industry

37derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

Jul 20, 1989

First registration

Oct 15, 2019

Dual registered

yes, broker-dealer

Other names

NEAL DANIEL OSULLIVAN|NEAL DANIEL OSULLIVAN|NEAL DANIEL O'SULLIVAN|NEAL DANIEL O SULLIVAN|NEAL OSULLIVAN

IAPD individual key

1891959

• Occurred

  Aug 16, 2024
  Advisor changed firm

  Neal D O Sullivan left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Prospect Financial Services Llc (registered 2024-08-16)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5828edab-a5d2-58d9-7fdd-a39b4902f3b2

First observed

Oct 15, 2019

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.