James E. Rooney
Professional summary
James Edward Rooney JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, James had worked at 4 firms, which includes FOX WEALTH ADVISORS LLC, FOX FINANCIAL MANAGEMENT CORPORATION, FOX & COMPANY INVESTMENTS INC., H.J. MEYERS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2015 - May 21, 2019
FOX WEALTH ADVISORS LLC
November 28, 2007 - October 28, 2013
FOX WEALTH ADVISORS LLC
August 3, 2005 - December 24, 2013
FOX FINANCIAL MANAGEMENT CORPORATION
January 30, 1996 - December 2, 2005
FOX & COMPANY INVESTMENTS INC.
October 31, 1988 - November 28, 1995
H.J. MEYERS & CO., INC.
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
Current Firm
FOX WEALTH ADVISORS LLC
CRD#: 142012 / SEC#:
Contact information
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.
