Mark Rathjen has been an investment adviser representative at Prospect Financial Services since February 2023, and is not listed among the firm’s executive officers or direct owners. Mark Rathjen holds a BA in Business Administration from Saint Bonaventure 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.
Mark Rathjen is a Financial Advisor with Prospect Financial Services. He joined the firm in 2023 after working as a Registered Investment Advisor for 8 years. Earlier he held leadership positions at Spear Leeds & Kellogg, Goldman Sachs and Leerink Partners, where as Senior Managing Director he oversaw the firm's Institutional Sales & Trading.
Mark Rathjen’s longest registration is the current one, 3 years at Prospect Financial Services since 2023.
- LPL Financial LLCAlso current– present · under a yearMelville, NY · Adviser representative · Firm CRD 6413
- – present · 3 yearsMelville, NY · Adviser representative · Firm CRD 314154
Investment adviser representative registrations
Mark Rathjen is registered as an investment adviser representative in New York, since February 2023.
- New YorkSince 8 February 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 17 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 8 October 2012 |
| Series 24 | General Securities Principal Examination | 22 January 2001 |
| Series 55 | Limited Representative-Equity Trader Exam | 2 June 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 January 1997 |
| Series 7 | General Securities Representative Examination | 5 May 1995 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mark Steven Rathjen
- CRD
- 2614215
- 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
- June 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- profinserv.net
Where does Mark Rathjen work?
Mark Rathjen is an investment adviser representative registered through Prospect Financial Services LLC since February 2023, and is not listed among the firm’s executive officers or direct owners.
Is Mark Rathjen a financial advisor?
Yes. Mark Rathjen has a current investment-adviser registration in New York, through Prospect Financial Services since February 2023.
How many years of experience does Mark Rathjen have?
Mark Rathjen has 27 years in the financial industry, since June 1999, across 2 adviser firms.
What exams has Mark Rathjen passed?
Mark Rathjen has passed 7 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 4, Series 57TO and Series 65. The earliest, the Series 7, was passed in May 1995. FINRA credited Mark Rathjen with the SIE, which began in October 2018.
Where is Mark Rathjen based?
Mark Rathjen’s registered office is in Melville, NY.
Is Mark Rathjen registered with FINRA?
Yes. Mark Rathjen has a current broker registration, under CRD 2614215.
Source: FINRA BrokerCheck
How can I verify Mark Rathjen’s record?
Search CRD 2614215 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Rathjen’s full registration record.
