Michael Rooney
Professional summary
Michael Rooney, who also goes by Michael R Rooney, Michael Ryan Rooney, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Rooney's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2023 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202January 16, 2020 - February 6, 2023
CLARENDON INSURANCE AGENCY, INC.
May 22, 2018 - December 12, 2019
THE LEADERS GROUP, INC.
December 12, 2011 - January 2, 2018
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 7, 2011 - November 22, 2011
LPL FINANCIAL LLC
July 7, 2011 - November 22, 2011
LPL FINANCIAL LLC
October 1, 2010 - June 27, 2011
MORGAN STANLEY
September 24, 2010 - June 27, 2011
MORGAN STANLEY
June 30, 2008 - August 2, 2010
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 12, 2005 - July 1, 2008
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2023)
(2/13/2023)
Exams
FINRA
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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