James Rooney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Rooney SR, who also goes by James Rooney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 1993 - July 17, 2001
WOLFE & HURST BOND BROKERS INC.
June 29, 1992 - February 9, 1993
W.A. CAPITAL MARKETS
September 20, 1990 - July 15, 1991
PURCELL GRAHAM INCORPORATED
January 26, 1990 - May 8, 1990
SLS SECURITIES COMPANY
June 1, 1988 - February 12, 1990
GRUNTAL & CO., L.L.C.
May 14, 1976 - May 13, 1988
MULLER AND COMPANY, INC.
October 16, 1973 - May 21, 1975
WESTMINSTER SECURITIES CORPORATION
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
Series 1
Date: 10/15/1973
Registered Representative ExaminationCurrent Firm
WOLFE & HURST BOND BROKERS INC.
CRD#: 8288 / SEC#: , 8-24924
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
