Anthony Sgueglia has been Owner of Prospect Financial Services since July 2021, is a control person of the firm and directly owns between 10% and 25% of it.
Prospect Financial Services LLC is a Melville, NY firm with $431M under management, 613 clients and 9 advisers in one office, as of its March 2026 filing.
No adviser firm registrations are on Anthony Sgueglia’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 25 October 1999 |
| Series 7 | General Securities Representative Examination | 15 July 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Anthony Carmine Sgueglia
- CRD
- 3216817
- Firm
- Prospect Financial Services · CRD 314154
- Role
- Owner
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Anthony Sgueglia work?
Anthony Sgueglia has been Owner of Prospect Financial Services LLC since July 2021, and is a control person of the firm.
Does Anthony Sgueglia have a current investment-adviser registration?
Anthony Sgueglia has a current broker registration and no current investment-adviser registration.
What exams has Anthony Sgueglia passed?
Anthony Sgueglia has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in July 1999. FINRA credited Anthony Sgueglia with the SIE, which began in October 2018.
Is Anthony Sgueglia registered with FINRA?
Yes. Anthony Sgueglia has a current broker registration, under CRD 3216817.
Source: FINRA BrokerCheck
How can I verify Anthony Sgueglia’s record?
Search CRD 3216817 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Anthony Sgueglia’s full registration record.
