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AR

Aidan J. Rooney

PROSPECT FINANCIAL SERVICES
MELVILLE, NY 11747
CRD#: 8186594
Some features on this profile are disabled
AR
Aidan James RooneyPROSPECT FINANCIAL SERVICES

Professional summary

Aidan James Rooney is a registered financial advisor currently at PROSPECT FINANCIAL SERVICES LLC located in Melville, New York and LPL FINANCIAL LLC located in Melville, New York.

Aidan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Aidan has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aidan James Rooney's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 21, 2026 - Present

PROSPECT FINANCIAL SERVICES LLC

Office #1: 445 Broad Hollow Road Suite Cl-43, Melville, NY 11747
RIA
CRD#: 314154
MELVILLE, NY
Current

November 13, 2025 - Present

LPL FINANCIAL LLC

Office #1: 445 Broadhollow Rd Ste Cl-43, Melville, NY 11747
RIA
BD
CRD#: 6413
MELVILLE, NY

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".
PF
PROSPECT FINANCIAL SERVICES LLC
PROSPECT FINANCIAL SERVICES LLC

CRD#: 314154 / SEC#: 801-122193

RIA
Registered Investment Advisory firm - (8/30/2021 Approved)

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
New York
(11/13/2025)
IAR
New York
(1/21/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/16/2025
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/13/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/13/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PROSPECT FINANCIAL SERVICES LLC
PROSPECT FINANCIAL SERVICES LLC

CRD#: 314154 / SEC#: 801-122193

RIA
Registered Investment Advisory firm - (8/30/2021 Approved)
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Contact information

Main Address
445 Broad Hollow Road Suite Cl-43, Melville, NY 11747
Mailing Address
Phone number
(631) 424-5218
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PROSPECT FINANCIAL DISCLOSURE BROCHURE (1/31/2025)

Regulatory assets under management

Total Number of Accounts1,178
AUM (Assets Under Management)$ 418,143,884

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.

Company Information

PROSPECT FINANCIAL SERVICES LLC

CRD#: 314154Melville, NY 11747

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