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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rooney is a financial advisor at Morgan Stanley. James has over 30 years of experience in the financial services industry. He is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, Series 63, and Series 65 licenses. James is also registered as an investment advisor representative in several states. He specializes in portfolio management for individuals, businesses, and investment companies. James is committed to providing his clients with personalized financial advice and guidance.
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
CT
05/05/2020 - Present
Morgan Stanley (West Hartford CT)
CT
11/10/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WEST HARTFORD CT)
NJ
05/07/1993 - 12/11/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
01/19/1988 - 05/17/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1988
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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