SR
Sean C. Rooney
PNC WEALTH MANAGEMENT LLC
Mountaintop, PA 18707
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CRD#: 6490086
SR
Professional summary
Sean Christopher Rooney, who also goes by Sean Christopher Rooney, Sean Rooney, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Mountaintop, Pennsylvania.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Sean has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Christopher Rooney | Sean Rooney
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Christopher Rooney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Christopher Rooney'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®
NoneExperience
Current
June 1, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 125 South Mountain Boulevard, Mountaintop, PA 18707Office #2: 201 Penn Avenue, Scranton, PA 18503RIA
BD
CRD#: 129052
Mountaintop, PA
Current
June 1, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 125 South Mountain Boulevard, Mountaintop, PA 18707Office #2: 201 Penn Avenue, Scranton, PA 18503RIA
BD
CRD#: 129052
Mountaintop, PA
Past
December 23, 2019 - May 27, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILKES BARRE, PA
Past
December 23, 2019 - May 27, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WILKES BARRE, PA
Past
September 10, 2019 - December 11, 2019
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
SCRANTON, PA
Past
January 23, 2017 - September 18, 2018
EDWARD JONES
RIA
CRD#: 250
STROUDSBURG, PA
Past
January 23, 2017 - September 18, 2018
EDWARD JONES
BD
CRD#: 250
STROUDSBURG, PA
Past
November 15, 2016 - January 23, 2017
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ALLENTOWN, PA
Past
July 18, 2016 - January 23, 2017
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ALLENTOWN, PA
Past
November 2, 2015 - May 10, 2016
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WYOMISSING, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/17/2023)
RR
California(3/29/2023)
RR
Florida(10/15/2021)
RR
Michigan(9/5/2023)
RR
New Jersey(9/24/2024)
RR
New York(10/2/2023)
RR
North Carolina(3/2/2023)
RR
Pennsylvania(6/1/2021)
IAR
Pennsylvania(6/1/2021)
RR
Virginia(6/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
300 Fifth Avenue 26th Floor, Pittsburgh, PA 15222-2722
Mailing Address
1900 E. 9th Street 17th Floor, Cleveland, OH 44114
Phone number
(800) 762-6111
Established
Delaware since 09/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,585
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
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.
