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AR

Alice M. Rooney

OBEX SECURITIES LLC
New Rochelle, NY
Some features on this profile are disabled
CRD#: 1910469
AR

Professional summary

Alice Margaret Rooney is a registered financial professional 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 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Alice Margaret Rooney's 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®
None

Experience

Current

August 2, 2006 - Present

OBEX SECURITIES LLC

Office #2: 290 Overlook Road, New Rochelle, NY 10804
BD
CRD#: 120002
New Rochelle, NY
Past

May 6, 2003 - February 27, 2006

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
NEW YORK, NY
Past

April 18, 2002 - May 22, 2003

IPO.COM SECURITIES, INC.

BD
CRD#: 104007
NEW YORK, NY
Past

January 11, 2002 - April 1, 2002

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

May 1, 2001 - March 26, 2002

IPO.COM SECURITIES, INC.

BD
CRD#: 104007
NEW YORK, NY
Past

June 25, 1996 - March 28, 1997

CORINTHIAN PARTNERS, L.L.C.

BD
CRD#: 38912
NEW YORK, NY
Past

May 17, 1996 - May 14, 2001

SAZES SECURITIES LLC

BD
CRD#: 35957
NEW YORK, NY
Past

August 6, 1991 - August 11, 1995

BDS SECURITIES LLC

BD
CRD#: 21751
NEW YORK, NY
Past

January 10, 1989 - December 10, 1991

DURIAN SECURITIES, INC.

BD
CRD#: 16290

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(8/2/2006)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/20/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/13/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/22/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/10/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/31/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/26/1991
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/9/1989
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OBEX SECURITIES LLC
OBEX SECURITIES LLC

CRD#: 120002 / SEC#: , 8-65242

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
290 Overlook Road, New Rochelle, NY 10804
Mailing Address
290 Overlook Road, New Rochelle, NY 10804
Phone number
(914) 833-1800
Established
Delaware since 08/14/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OBEX GROUP LLCSOLE SHAREHOLDER
KATZENSTEIN, RANDALL JAYPRESIDENT/CEO1209829
ROONEY, ALICE MARGARETCOO/FINOP/CCO/ROSRP1910469

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.

Company Information

OBEX SECURITIES LLC

CRD#: 120002New Rochelle, NY

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