Raleigh, NC Office
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Prospect Financial Services LLC
Team
Firm-wide stats for Prospect Financial Services LLC
About
Prospect Financial Services LLC provides discretionary investment management, comprehensive wealth management and financial planning to individuals, high-net-worth clients, trusts, estates, businesses and retirement plans. The firm also offers standalone financial planning engagements and retirement-plan advisory services, including investment policy statement design and ERISA 3(21) investment oversight.
The firm’s investment process is primarily long-term and combines fundamental and technical analysis to build diversified portfolios that may include ETFs, mutual funds, bonds, individual equities, independent managers, fee-based annuities, options, digital assets and certificates of deposit. Prospect Financial may trade shorter-term to rebalance or meet client needs and discloses the use of options and other derivative instruments in separately managed accounts.
Prospect Financial is affiliated with The Chwast CPA Group, P.C., with certain supervised persons owning and providing tax and accounting services that are offered separately to clients and compensated apart from advisory fees. Several advisors are dually registered with LPL Financial and the firm maintains institutional relationships with LPL and Schwab that provide platform services and transition assistance, arrangements the brochure discloses and addresses in its conflicts-of-interest policies.
Based on Prospect Financial Services LLC
Expertise
Based on Prospect Financial Services LLC
Location
Raleigh NC
Advisors at this office
1
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