Jay Nathan has been Partner of Prospect Financial Services since July 2021, is a control person of the firm and directly owns between 25% and 50% 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.
Jay Nathan’s longest registration is the current one, 4 years at Prospect Financial Services since 2021. Before joining Prospect Financial Services in 2021, Jay Nathan 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
Jay Nathan 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 | 7 September 2005 |
| Series 7 | General Securities Representative Examination | 18 August 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Jay L Nathan
- CRD
- 4899753
- Firm
- Prospect Financial Services · CRD 314154
- Role
- Partner
- Office
- 445 BROAD HOLLOW ROAD, SUITE CL-43, Melville, NY 11747
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2005
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Jay Nathan work?
Jay Nathan has been Partner of Prospect Financial Services LLC since July 2021, and is a control person of the firm.
Is Jay Nathan a financial advisor?
Yes. Jay Nathan has a current investment-adviser registration in New York, through Prospect Financial Services since December 2021.
How many years of experience does Jay Nathan have?
Jay Nathan has 21 years in the financial industry, since August 2005, across 2 adviser firms.
What exams has Jay Nathan passed?
Jay Nathan has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in August 2005. FINRA credited Jay Nathan with the SIE, which began in October 2018.
Where is Jay Nathan based?
Jay Nathan’s registered office is in Melville, NY.
Is Jay Nathan registered with FINRA?
Yes. Jay Nathan has a current broker registration, under CRD 4899753.
Source: FINRA BrokerCheck
How can I verify Jay Nathan’s record?
Search CRD 4899753 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Jay Nathan’s full registration record.
