Stephen M. Rooney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Michael Rooney was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2005. Stephen had worked at 4 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2012 - August 16, 2012
CABOT LODGE SECURITIES LLC
March 20, 2012 - June 21, 2012
ALLIED BEACON PARTNERS, INC.
September 21, 2011 - December 2, 2011
OPPENHEIMER & CO. INC.
December 13, 2005 - September 29, 2011
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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