Alice Margaret Rooney
Professional Summary
Alice Margaret Rooney is a registered financial advisor currently at OBEX SECURITIES LLC located in New Rochelle, New York. Alice is registered as a RR (Registered Representative) and started their career in finance in 1989. Alice has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 4, Series 53, Series 24 and Series 27...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
OBEX SECURITIES LLC
Contact Information
Main Address
1880 Palmer Ave Suite 4c, Larchmont, NY 10538Mailing Address
1880 Palmer Ave Suite 4c, Larchmont, NY 10538Phone Number
(914) 833-1800Established
Delaware since 08/14/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(8/2/2006)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alice Margaret Rooney's CRS (Customer Relationship Summary).
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