Neal D O Sullivan

Employer firm

Prospect Financial Services LLC CRD 314154

$431M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2019 → 08/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Great Neck, NY
• 10/2018 → 09/2019
  Unemployed
  Farmingdale, NY
• 08/2024 → Present
  Lpl Financial Llc
  Melville, NY
• 10/2019 → 08/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Great Neck, NY
• 10/2016 → 09/2018
  Fbn Securities, Inc.
  New York, NY
• 08/2024 → Present
  Prospect Financial Services Llc
  Farmingdale, NY

Previous Registrations

• 2019-10-15 → 2024-08-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  Great Neck, NY

Other Businesses

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.

Exams

• S66 Uniform Combined State Law Examination
  2019-10-15
• S63 Uniform Securities Agent State Law Examination
  1989-07-20

Other Names

• Neal Daniel Osullivan
• Neal Daniel Osullivan
• Neal Daniel O'SUllivan
• Neal Daniel O Sullivan
• Neal Osullivan