Mark Rathjen joined Prospect Financial Services in 2023 after working as an independent Registered Investment Advisor for the last 8 years. He is a 30 year veteran of the financial markets and held various leadership positions at Spear Leeds & Kellogg, Goldman Sachs and Leerink Partners. As a Senior Managing
Director at Leerink Partners he oversaw all the firm’s Institutional Sales &
Trading. Mark helped establish and manage Leerink’s Convertible Bond
and Derivatives desks. Mark’s responsibilities included overseeing the Firm's risk for the San Francisco, New York, and Boston
Mark holds numerous securities registrations, which are held by LPL Financial, including:
Series 4 (Registered Options Principal)
Series 7 (General Securities Representative)
Series 24 (General Securities Principal)
Series 63 (Uniform Securities Agent State Law)
Series 65 (Uniform Investment Advisor) registration held by Prospect Financial Services, LLC.
Mark currently resides in Head of the Harbor, NY with his wife Janice and
their three children. Mark enjoys coaching his
children, boating and traveling with his family in his free time. He also is an investor in
Roberts & Ryan which is the first Service Disabled Veteran Owned Broker
Dealer. Mark graduated from Saint Bonaventure University in 1993 with a
Bachelor of Arts degree in Business Administration.