David Gerken has been an investment adviser representative at Prospect Financial Services since December 2021, and is not listed among the firm’s executive officers or direct owners. David Gerken holds a BS in Marketing from Florida State University.
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.
David Gerken is a Financial Representative with Prospect Financial Services. He joined the firm in 2020 with 26 years of experience in the insurance and investment industry. He helps clients plan for short- and long-term goals, such as education expenses and retirement. Before joining LPL, he worked at John Hancock and Lincoln Financial, where he served as a financial and insurance representative.
David Gerken’s longest registration is the current one, 4 years at Prospect Financial Services since 2021. Before joining Prospect Financial Services in 2021, David Gerken was registered through The Pinnacle Financial Group.
- – present · 4 yearsMelville, NY · Adviser representative · Firm CRD 314154
- The Pinnacle Financial Group– · under a yearMelville, NY · Adviser representative · Firm CRD 164395
Investment adviser representative registrations
David Gerken is registered as an investment adviser representative in New York, since December 2021.
- New YorkSince 21 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 29 March 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 29 March 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- David Frank Gerken
- CRD
- 2452301
- Firm
- Prospect Financial Services · CRD 314154
- Office
- 445 BROAD HOLLOW ROAD, SUITE CL-43, Melville, NY 11747
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- profinserv.net
Where does David Gerken work?
David Gerken is an investment adviser representative registered through Prospect Financial Services LLC since December 2021, and is not listed among the firm’s executive officers or direct owners.
Is David Gerken a financial advisor?
Yes. David Gerken has a current investment-adviser registration in New York, through Prospect Financial Services since December 2021.
How many years of experience does David Gerken have?
David Gerken has 32 years in the financial industry, since March 1994, across 2 adviser firms.
What exams has David Gerken passed?
David Gerken has passed 2 licensing exams: the Series 63 and Series 6. The earliest, the Series 63, was passed in March 1994. FINRA credited David Gerken with the SIE, which began in October 2018.
Where is David Gerken based?
David Gerken’s registered office is in Melville, NY.
Is David Gerken registered with FINRA?
Yes. David Gerken has a current broker registration, under CRD 2452301.
Source: FINRA BrokerCheck
How can I verify David Gerken’s record?
Search CRD 2452301 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David Gerken’s full registration record.
