Brian M. 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.
Brian Martin Rooney, who also goes by Brian Martin Rooey, Brian Martin Rooey, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2010 - December 14, 2015
AG BD LLC
May 11, 2001 - August 27, 2004
TD AMERITRADE, INC.
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
Current Firm
AG BD LLC
CRD#: 23122 / SEC#: , 8-40213
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANGELO, GORDON & CO., L.P. | MANAGING MEMBER | |
| ANGELO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER | 6118 |
| GORDON, MICHAEL LAURENCE | CHIEF OPERATING OFFICER | 225836 |
| WEKSELBLATT, JOSEPH ROBERT | CHIEF FINANCIAL OFFICER | 1817841 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2836950 |
| WOLF, GARY ISAAC | MANAGING DIRECTOR AND SENIOR REGISTERED OPTIONS PRINCIPAL | 1847357 |
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.
