Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Rooney has been a registered investment advisor for over 30 years. Michael is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in the states of Connecticut, New York, and Texas. Michael previously worked at Continental Broker-Dealer Corp. in Carle Place, NY. Michael has a wide range of experience in the financial services industry and is committed to providing his clients with the highest level of service. Michael is well-versed in a number of areas and specializes in retirement planning, college savings, and estate planning. He is also experienced in managing investments for individuals, families, and businesses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
07/05/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FOREST HILLS NY)
NY
11/08/1991 - 09/03/1998
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BOTH
Issued 08/13/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/09/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/23/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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