Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Max? Claim Your ProfileMax Johann Rooney is a financial advisor in Burlington, Vermont. Max has been in the financial industry since December 10, 2008. Max is registered with LPL Financial LLC and has been with the firm since June 8, 2023. Max has previously worked at People's Securities, Inc., Fidelity Brokerage Services LLC, TIAA-CREF Individual & Institutional Services, LLC, and Northwestern Mutual Investment Services, LLC. Max has a strong understanding of the financial markets and is committed to providing his clients with personalized financial 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.
Consulting and other non-discretionary advisory services
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.
1
2
VT
06/08/2023 - Present
LPL Financial LLC (BURLINGTON VT)
CT
01/24/2022 - 09/08/2022
PEOPLE'S SECURITIES, INC. (BRIDGEPORT CT)
NY
04/18/2021 - 12/03/2021
FIDELITY BROKERAGE SERVICES LLC (ALBANY NY)
VT
09/02/2014 - 03/03/2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (WILLISTON VT)
VT
08/05/2008 - 07/30/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (COLCHESTER VT)
IA
Issued 03/09/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2014
Series 7 - General Securities Representative Examination
BC
Issued 08/04/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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