Daniel J. Rooker

ROOK FINANCIAL LLC

CHICAGO, IL

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CRD#: 6121324

Professional summary

Daniel Joseph Rooker, CFP®, who also goes by Dan Rooker, is a registered financial advisor currently at ROOK FINANCIAL LLC located in Chicago, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Daniel has worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Rooker

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.

Name: Tennis Corporation of America. Investment-related: No. Address: 3611 N Kedzie Ave, Chicago, IL 60618. Nature: Health & Fitness Gym. Position: Coach. Start date: 02/01/2020. Approximate hours per month: 4. Approximate hours per month during securities trading hours: 0. Duties: Coach swim classes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Rooker's 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®

CFP^®

CRD#: 3978

CHICAGO, IL

Past

October 15, 2013 - March 30, 2016

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

BEACHWOOD, OH

Past

March 19, 2013 - April 19, 2016

LPL FINANCIAL LLC

CRD#: 6413

BEACHWOOD, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/11/2025)

IAR

Illinois
(7/11/2025)

IAR

North Carolina
(8/7/2025)

IAR

Texas
(7/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/18/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/14/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/2013

General Securities Representative Examination

Current Firm

ROOK FINANCIAL LLC

CRD#: 335543 / SEC#:

California

Registered Investment Advisory firm - (7/11/2025 Approved)

Illinois

Registered Investment Advisory firm - (7/11/2025 Approved)

North Carolina

Registered Investment Advisory firm - (8/7/2025 Approved)

Texas

Registered Investment Advisory firm - (7/14/2025 Conditional Restricted)

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Contact information

Main Address

Chicago, IL

Mailing Address

Phone number

(312) 772-5216

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Daniel J. Rooker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Rooker's CRS (Customer Relationship Summary).

Certified licenses

Experience

SLP WEALTH

ROOK FINANCIAL LLC

HIGHTOWER ADVISORS, LLC

PRIVATE VISTA, LLC

CLUNE & ASSOCIATES

OSAIC FA, INC.

OSAIC FA, INC.

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/2016

Series 66

Date: 10/14/2013

SIE

Date: 6/5/2017

Series 7

Date: 3/18/2013

Current Firm

ROOK FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

ROOK FINANCIAL LLC

TRUST BUT VERIFY

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