Neal O Sullivan has been an investment adviser representative at Prospect Financial Services since August 2024, and is not listed among the firm’s executive officers or direct owners.
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.
Neal O Sullivan’s longest registration was 4 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2019–2024). Before joining Prospect Financial Services in 2024, Neal O Sullivan was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- – present · 2 yearsFarmingdale, NY · Adviser representative · Firm CRD 314154
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 4 yearsGreat Neck, NY · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Neal O Sullivan is registered as an investment adviser representative in New York, since August 2024.
- New YorkSince 16 August 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 15 October 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 2 November 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 July 1989 |
| Series 7 | General Securities Representative Examination | 20 May 1989 |
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Neal D O Sullivan
- CRD
- 1891959
- Firm
- Prospect Financial Services · CRD 314154
- Office
- Farmingdale, NY
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Neal O Sullivan work?
Neal O Sullivan is an investment adviser representative registered through Prospect Financial Services LLC since August 2024, and is not listed among the firm’s executive officers or direct owners.
Is Neal O Sullivan a financial advisor?
Yes. Neal O Sullivan has a current investment-adviser registration in New York, through Prospect Financial Services since August 2024.
How many years of experience does Neal O Sullivan have?
Neal O Sullivan has 35 years in the financial industry, since December 1990, across 2 adviser firms.
What exams has Neal O Sullivan passed?
Neal O Sullivan has passed 4 licensing exams: the Series 7, Series 63, Series 3 and Series 66. The earliest, the Series 7, was passed in May 1989. FINRA credited Neal O Sullivan with the SIE, which began in October 2018.
Where did Neal O Sullivan work before Prospect Financial Services?
Before Prospect Financial Services, Neal O Sullivan was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, October 2019 to August 2024.
Where is Neal O Sullivan based?
Neal O Sullivan’s registered office is in Farmingdale, NY.
Is Neal O Sullivan registered with FINRA?
Yes. Neal O Sullivan has a current broker registration, under CRD 1891959.
Source: FINRA BrokerCheck
How can I verify Neal O Sullivan’s record?
Search CRD 1891959 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Neal O Sullivan’s full registration record.
