Unclaimed Profile

Mark Frederick Swingle

PROSPECT CAPITAL SERVICES, INC.·WESTFIELD, New Jersey

SIE, Series 6, Series 7, Series 63CFPClean record24 years registeredPROSPECT CAPITAL SERVICES, INC.

316 EAST BROAD STREET, WESTFIELD, NJ 07090CRD# 2785218Firm CRD# 290102

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Frederick Swingle · WESTFIELD, NJ

Registration

CRD #2785218 · PROSPECT CAPITAL SERVICES, INC. · 24 years registered

Brand Profile

Not yet started

Career History

MERIT FINANCIAL ADVISORS

Jul 2024 – present

WESTFIELD FINANCIAL PLANNING

Nov 2017 – Aug 2024

WESTFIELD, NJ

KESTRA ADVISORY SERVICES, LLC

Apr 2016 – Nov 2017

WESTFIELD, NJ

NFP ADVISOR SERVICES, LLC

Dec 2004 – Sep 2016

WESTFIELD, NJ

MML INVESTORS SERVICES, INC.

Jun 2002 – Dec 2004

WESTFIELD, NJ

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 63

Registration record

First registered · June 20, 2002

Years registered · 24

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PROSPECT CAPITAL SERVICES, INC.

CRD 290102 · SEC 801-111888

AUM

$191M

Regulatory assets under management

Employees

699 client accounts

Services offered by PROSPECT CAPITAL SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at PROSPECT CAPITAL SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does Mark Frederick Swingle offer?

Mark Frederick Swingle specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in WESTFIELD, New Jersey for a consultation.

What are Mark Frederick Swingle's credentials?

Mark Frederick Swingle holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Mark Frederick Swingle located?

Mark Frederick Swingle is based in WESTFIELD, New Jersey, working with PROSPECT CAPITAL SERVICES, INC.. Their office serves clients in the WESTFIELD metropolitan area and surrounding communities.

How does Mark Frederick Swingle charge for services?

Mark Frederick Swingle's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PROSPECT CAPITAL SERVICES, INC.?

PROSPECT CAPITAL SERVICES, INC. has approximately 5 employees and manages $191M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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