SR
Sean P. Rooney
PROSPECT FINANCIAL SERVICES LLC
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2635431
SR
Professional summary
Sean Peter Rooney is a registered financial advisor currently at PROSPECT FINANCIAL SERVICES LLC located in Melville, New York and LPL FINANCIAL LLC located in Melville, New York.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Sean has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
1. 05/19/2016 * Liberty Asset Management * Business Entity For Tax/Investment Purposes Only * inv rel * 9 south long beach road, Rockville Centre NY 11570 * start 12/15/15 * subchapter S for tax purposes 100% owned by Sean Rooney * 200 hrs/mo. 2. 02/15/2017 - 584 Middle Road Corp. - Investment Related - Sayville, NY - Real Estate Rental - Started 01/01/2014 - 1 Hour Per Month/1 Hour During Securities Trading 3. 02/15/2017 - No Business Name - Investment Related - Islip, NY - Real Estate Rental - Started 01/01/2013 - I Hour Per Month/1 Hour During Securities Trading. 4. 3/21/2017 - Bayport Management - Investment Related - Sayville, NY - Real Estate Rental - Started 01/01/2014 - 1 Hour Per Month During Securities Trading. 5. 1/28/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/11/2019 - 5 Hours Per Month/0 Hours During Securities Trading. 6. 10/11/2019 - Prospect Financial Services - DBA for LPL Business (entity for LPL business) - Inv. Related - Melville, NY - Registered Representative of LPL a broker dealer - 5-10% 7. 12/27/2021 - Prospect Financial Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 12/21/2021 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Prospect Financial Services LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Peter 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®
NoneExperience
Current
December 21, 2021 - Present
PROSPECT FINANCIAL SERVICES LLC
Office #1: 445 Broad Hollow Road Suite Cl-43, Melville, NY 11747RIA
CRD#: 314154
Melville, NY
Current
October 30, 2015 - Present
LPL FINANCIAL LLC
Office #1: 445 Broadhollow Rd Ste Cl-43, Melville, NY 11747RIA
BD
CRD#: 6413
Melville, NY
Past
September 2, 2021 - December 31, 2021
THE PINNACLE FINANCIAL GROUP
RIA
CRD#: 164395
MELVILLE, NY
Past
October 27, 2014 - November 3, 2015
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
MELVILLE, NY
Past
January 16, 2009 - November 3, 2015
OPPENHEIMER & CO. INC.
BD
CRD#: 249
MELVILLE, NY
Past
October 23, 2002 - January 21, 2009
MAXIM GROUP LLC
BD
CRD#: 120708
WOODBURY, NY
Past
October 29, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
October 24, 1996 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
BD
CRD#: 10494
WOODBURY, NY
Past
November 20, 1995 - November 19, 1996
KENSINGTON WELLS INCORPORATED
BD
CRD#: 30570
Past
November 1, 1995 - December 8, 1995
STRATTON OAKMONT INC.
BD
CRD#: 18692
LAKE SUCCESS, 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".
PF
PROSPECT FINANCIAL SERVICES LLC
PROSPECT FINANCIAL SERVICES LLC
CRD#: 314154 / SEC#: 801-122193
RIA
Registered Investment Advisory firm - (8/30/2021 Approved)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.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
Arizona(2/25/2016)
RR
California(10/30/2015)
RR
Connecticut(4/15/2019)
RR
Florida(10/30/2015)
RR
Georgia(11/17/2015)
RR
Illinois(4/5/2018)
RR
Louisiana(10/18/2019)
RR
Massachusetts(5/6/2019)
RR
Minnesota(10/30/2015)
RR
New Jersey(10/30/2015)
RR
New York(10/30/2015)
IAR
New York(12/21/2021)
RR
North Carolina(5/14/2019)
RR
Oklahoma(12/21/2021)
RR
Pennsylvania(10/30/2015)
RR
Puerto Rico(8/23/2025)
RR
South Carolina(10/30/2015)
RR
Texas(10/30/2015)
IAR
Texas(3/15/2022)
RR
Virginia(10/18/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PROSPECT FINANCIAL SERVICES LLC
PROSPECT FINANCIAL SERVICES LLC
CRD#: 314154 / SEC#: 801-122193
RIA
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Contact information
Main Address
445 Broad Hollow Road Suite Cl-43, Melville, NY 11747
Mailing Address
Phone number
(631) 424-5218
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,178 |
| AUM (Assets Under Management) | $ 418,143,884 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROSPECT FINANCIAL SERVICES LLC
CRD#: 314154Melville, NY 11747TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
