Daniel F. 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.
Daniel Francis Rooney JR, who also goes by Dan Rooney, Daniel F Rooney, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1977. Daniel had worked at 14 firms and has passed the Series 65, Series 63, Series 15, Series 7, Series 8, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2004 - March 27, 2012
HORNOR, TOWNSEND & KENT, LLC
November 24, 1999 - March 27, 2012
HORNOR, TOWNSEND & KENT, LLC
October 1, 1999 - November 30, 1999
MIDSOUTH CAPITAL, INC.
April 8, 1997 - February 5, 1999
MIDSOUTH CAPITAL, INC.
May 4, 1993 - February 21, 1997
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
October 21, 1992 - March 21, 1993
WEALTH RESOURCE CAPITAL CORPORATION
June 9, 1992 - September 8, 1992
ABN AMRO SECURITIES LLC
February 13, 1990 - June 8, 1992
WEALTH RESOURCE CAPITAL CORPORATION
August 14, 1989 - February 5, 1990
BOARDWALK CAPITAL CORPORATION
July 18, 1989 - July 31, 1989
KAVANAUGH SECURITIES, INC.
August 28, 1987 - June 27, 1989
COAST FINANCIAL ADVISORS, INC.
January 13, 1987 - August 31, 1987
CRESCENT SECURITIES CORPORATION
August 11, 1986 - December 22, 1986
CORNWALL SECURITIES, INC.
November 27, 1984 - April 3, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 27, 1979 - May 9, 1985
CAPITAL ASSET MANAGEMENT, INC.
September 26, 1978 - April 10, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
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 15
Date: 4/20/1987
Foreign Currency Options ExaminationSeries 8
Date: 6/22/1992
General Securities Sales Supervisor Examination (Options Module & General Module)F04
Date: 11/22/1978
Financial Principal ExaminationSeries 40
Date: 11/22/1978
Registered Principal ExaminationCurrent Firm
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
