Sean Peter Rooney
Vorstandsvorsitzender bei Prospect Financial Services LLC
Profil
Mr. Sean P.
Rooney is a Managing Partner at Prospect Financial Services LLC, a Member at Financial Industry Regulatory Authority, Inc. and a Member at Securities Investor Protection Corp.
He will be working hand and hand to lead our team in strategic planning as well as spearhead our investment strategy for clients.
He is a 26 year veteran of the financial markets and has worked in many different capacities throughout his career as a financial advisor.
For the last 6 years Sean has been a Financial Advisor at the Pinnacle Financial Group and LPL Financial.
LPL Financial is the largest, independent broker dealer in the United States.
Prior to working with PFG & LPL, Mr. Rooney served as Senior Director of Investments at Oppenheimer & Co., a full service investment banking, securities and wealth management firm.
He has also worked in similar capacity at Investec Ernst & Company, an international specialist bank headquartered in South Africa and the U.K
He graduated from C.W.
Post University in 1993 with a Bachelors of Arts degree in Business Administration and holds several securities licenses including a Series 7, Series 24, and Series 63 with LPL Financial and the Series 65 with Prospect Financial Services, LLC.
He also holds his New York Life and Health insurance licenses.
Aktive Positionen von Sean Peter Rooney
| Unternehmen | Position | Beginn |
|---|---|---|
Financial Industry Regulatory Authority, Inc.
 Financial Industry Regulatory Authority, Inc. Miscellaneous Commercial ServicesCommercial Services Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Corporate Officer/Principal | - |
Securities Investor Protection Corp.
 Securities Investor Protection Corp. Insurance Brokers/ServicesFinance The Securities Investor Protection Corporation either acts as trustee or works with an independent court-appointed trustee in a missing asset case to recover funds. The statute that created SIPC provides that customers of a failed brokerage firm receive all non-negotiable securities that are already registered in their names or in the process of being registered. Recovered funds are used to replenish SIPC's reserve in the event that the reserve is tapped in the early stages of a liquidation proceeding. | Corporate Officer/Principal | - |
Prospect Financial Services LLC
 Prospect Financial Services LLC Investment ManagersFinance Prospect Financial Services LLC is a private company headquartered in Melville, NY. The firm provides investment advice. It was founded in 1999. Sean Peter Rooney is the current CEO, occupying that position since 2021. | Vorstandsvorsitzender | 01.12.2021 |
Ehemalige bekannte Positionen von Sean Peter Rooney
| Unternehmen | Position | Ende |
|---|---|---|
| ORBITAL INFRASTRUCTURE GROUP, INC. | Direktor/Vorstandsmitglied | 12.10.2021 |
Oppenheimer & Co., Inc.
 Oppenheimer & Co., Inc. Investment ManagersFinance Oppenheimer & Co., Inc. provides security brokerage services. It also offers investment banking and advice to high net worth investors, individuals, businesses and institutions. The company is headquartered in New York, NY. | Corporate Officer/Principal | - |
Investec Ernst & Co.
 Investec Ernst & Co. Investment Banks/BrokersFinance Part of Investec Ltd., Investec Ernst & Co. is a South African company that provides investment banking services. The company is based in Johannesburg, South Africa. | Chief Investment Officer | - |
Ausbildung von Sean Peter Rooney
| Long Island University | Undergraduate Degree |
| LIU Post | Undergraduate Degree |
Erfahrungen
Besetzte Positionen
Aktive
Inaktive
Börsennotierte Unternehmen
Private Unternehmen
Beziehungen
Beziehungen ersten Grades
Unternehmen ersten Grades
Herr
Frau
Aufsichtsräte
Führungskräfte
Unternehmensverbindungen
| Private Unternehmen | 6 |
|---|---|
Oppenheimer & Co., Inc.
Oppenheimer & Co., Inc. Investment ManagersFinance Oppenheimer & Co., Inc. provides security brokerage services. It also offers investment banking and advice to high net worth investors, individuals, businesses and institutions. The company is headquartered in New York, NY. | Finance |
Orbital Infrastructure Group, Inc.
 Orbital Infrastructure Group, Inc. Engineering & ConstructionIndustrial Services Orbital Infrastructure Group, Inc. engages in the acquisition, development and commercialization of electro-mechanical products and technologies worldwide. It operates through the following segments: Electric Power, Telecommunications and Renewables. The Electric Power segment provides comprehensive infrastructure solutions to customers in the electric power industry. The Telecommunications segment provides enterprise solutions to the cable and telecommunication industries. The Renewables segment focuses on utility-scale solar construction. The company was founded on April 21, 1998 and is headquartered in Houston, TX. | Industrial Services |
Investec Ernst & Co.
Investec Ernst & Co. Investment Banks/BrokersFinance Part of Investec Ltd., Investec Ernst & Co. is a South African company that provides investment banking services. The company is based in Johannesburg, South Africa. | Finance |
Securities Investor Protection Corp.
Securities Investor Protection Corp. Insurance Brokers/ServicesFinance The Securities Investor Protection Corporation either acts as trustee or works with an independent court-appointed trustee in a missing asset case to recover funds. The statute that created SIPC provides that customers of a failed brokerage firm receive all non-negotiable securities that are already registered in their names or in the process of being registered. Recovered funds are used to replenish SIPC's reserve in the event that the reserve is tapped in the early stages of a liquidation proceeding. | Finance |
Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority, Inc. Miscellaneous Commercial ServicesCommercial Services Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Commercial Services |
Prospect Financial Services LLC
Prospect Financial Services LLC Investment ManagersFinance Prospect Financial Services LLC is a private company headquartered in Melville, NY. The firm provides investment advice. It was founded in 1999. Sean Peter Rooney is the current CEO, occupying that position since 2021. | Finance |
