James H. Rooney

AVENIR

ALEXANDRIA, VA 22314

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CRD#: 1684321

Professional summary

James Harris Rooney, CFA is a registered financial advisor currently at AVENIR CORPORATION located in Alexandria, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harris Rooney's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

June 9, 2005 - Present

AVENIR CORPORATION

Office #1: 277 South Washington Street Suite 350, Alexandria, VA 22314

RIA

CRD#: 110545

ALEXANDRIA, VA

Past

June 23, 1987 - July 11, 1990

SELIGMAN SECURITIES, INC.

CRD#: 3361

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AVENIR CORPORATION

CRD#: 110545 / SEC#: 801-32509

RIA

Registered Investment Advisory firm - (7/22/1988 Approved)

District of Columbia

Registered Investment Advisory firm - (4/10/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(6/9/2005)

IAR

Virginia
(12/20/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Current Firm

AVENIR CORPORATION

CRD#: 110545 / SEC#: 801-32509

RIA

Registered Investment Advisory firm - (7/22/1988 Approved)

District of Columbia

Registered Investment Advisory firm - (4/10/2002 Terminated)

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Contact information

Main Address

277 South Washington Street Suite 350, Alexandria, VA 22314

Mailing Address

Phone number

(202) 659-4427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVENIR CORPORATION FORM ADV PART 2 (5/14/2025)

Regulatory assets under management

Total Number of Accounts	483
AUM (Assets Under Management)	$ 1,003,294,487

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.

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James H. Rooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harris Rooney's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVENIR CORPORATION

SELIGMAN SECURITIES, INC.

Primary Firm SEC Registration

AVENIR CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/1999

Series 63

Date: 8/18/1987

Series 7

Date: 6/20/1987

Current Firm

AVENIR CORPORATION

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVENIR CORPORATION

TRUST BUT VERIFY

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