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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Rooney is an active financial advisor with over 30 years of experience in the industry. Arthur is currently registered with Morgan Stanley. Arthur is also registered as an Investment Advisor Representative in Texas, Connecticut, and New York. Arthur has a broad range of experience, including serving as a General Securities Representative and a Futures Managed Funds Representative. Prior to joining Morgan Stanley, Arthur worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Arthur has a long history of providing investment advice to individuals, businesses, institutions, and high-net-worth individuals. Arthur is committed to providing his clients with the highest level of service and expertise. Arthur is a valuable resource for those seeking investment advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
04/23/2020 - Present
Morgan Stanley (Hauppauge NY)
NY
04/11/1991 - 12/07/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SMITHTOWN NY)
IA
Issued 09/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2013
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 04/10/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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