George W. 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.
George William Rooney JR. was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2002. George had worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, 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
April 30, 2022 - May 18, 2023
PATRICK CAPITAL MARKETS, LLC
September 7, 2018 - February 1, 2021
COLLABORATION CAPITAL LLC
December 2, 2016 - September 25, 2017
PERIGON WEALTH MANAGEMENT, LLC
July 19, 2013 - December 31, 2015
PISCATAQUA CAPITAL MANAGEMENT, LLC
July 27, 2006 - December 31, 2008
UBS ASSET MANAGEMENT (US) INC.
July 27, 2006 - December 31, 2011
UBS ASSET MANAGEMENT (US) INC.
June 27, 2002 - July 29, 2004
UBS ASSET MANAGEMENT (US) INC.
January 30, 2002 - July 29, 2004
UBS ASSET MANAGEMENT (US) 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
Series 7TO
Date: 4/30/2022
General Securities Representative ExaminationCurrent Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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