William J. 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.
William Joseph Rooney, who also goes by Bill Joseph Rooney, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2012 - December 9, 2015
CAPITAL ANALYSTS
June 1, 2012 - December 9, 2015
LINCOLN INVESTMENT
June 1, 2012 - December 9, 2015
LINCOLN INVESTMENT
October 3, 2001 - June 1, 2012
CINCINNATI ANALYSTS, INC.
August 12, 1997 - June 1, 2012
CINCINNATI ANALYSTS, INC.
June 8, 1993 - August 13, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 18, 1991 - June 25, 1993
JOHN HANCOCK DISTRIBUTORS LLC
March 28, 1988 - May 23, 1990
PRUCO SECURITIES, LLC.
April 20, 1976 - June 7, 1993
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 1
Date: 4/14/1976
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
