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SR

Sean P. Rooney

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 2984854
SR

Professional summary

Sean Patrick Rooney is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 24 exams.

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 Sean Patrick 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®
None

Experience

Current

February 7, 2025 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

June 21, 2021 - March 7, 2023

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

April 26, 2019 - June 27, 2019

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

August 19, 2008 - May 25, 2017

BNP PARIBAS PRIME BROKERAGE, INC.

BD
CRD#: 24962
SAN FRANCISCO, CA
Past

May 4, 1998 - October 1, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
SAN FRANCISCO, CA

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
Arizona
(2/10/2025)
RR
Arkansas
(2/10/2025)
RR
California
(2/7/2025)
RR
Colorado
(2/10/2025)
RR
Florida
(2/10/2025)
RR
Hawaii
(2/10/2025)
RR
Idaho
(2/10/2025)
RR
Illinois
(2/10/2025)
RR
Michigan
(2/10/2025)
RR
Minnesota
(2/10/2025)
RR
Montana
(2/10/2025)
RR
Nebraska
(2/10/2025)
RR
Nevada
(2/10/2025)
RR
New Mexico
(2/10/2025)
RR
New York
(2/10/2025)
RR
North Carolina
(2/10/2025)
RR
North Dakota
(2/10/2025)
RR
Ohio
(2/11/2025)
RR
Oregon
(2/10/2025)
RR
South Dakota
(2/10/2025)
RR
Texas
(2/10/2025)
RR
Utah
(2/10/2025)
RR
Washington
(2/10/2025)
RR
Wisconsin
(2/10/2025)
RR
Wyoming
(2/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/25/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/22/2010
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
ALVAREZ, KAREN LOUFINANCIAL OPERATIONS4044938
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753

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

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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