Edward J. 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.
Edward James Rooney SR, who also goes by Edward James Rooney, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 9 firms and has passed the Series 63, SIE and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - July 2, 2018
LPS CAPITAL LLC
March 10, 2015 - October 7, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
April 15, 2014 - March 9, 2015
WHITAKER SECURITIES LLC
March 7, 2013 - March 26, 2014
FIRST BROKERS SECURITIES LLC
March 16, 2011 - December 19, 2012
BGC FINANCIAL, L.P.
March 23, 2005 - March 2, 2011
TRADITION SECURITIES AND DERIVATIVES LLC
September 26, 1992 - July 28, 1999
ICAP SECURITIES USA LLC
February 28, 1991 - September 9, 1992
FUNDAMENTAL BROKERS
July 25, 1987 - February 28, 1991
FUNDAMENTAL BROKERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 8/23/2004
Government Securities Representative ExaminationCurrent Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
