Sean Peter Rooney
Investment adviser representative at Prospect Financial Services LLC
11 yearsExperience
2 statesRegistered in
$431MFirm assets
5 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
11 years in the industry.
- Prospect Financial Services LLCDec 2021 to now
- LPL Financial LLCOct 2015 to now
- Pinnacle Financial GroupJan 2016 to Dec 2021
Exams passed
- Series 63 · Uniform Securities Agent State Law1995
- Series 65 · Uniform Investment Adviser Law2014
State registrations
Registered as an investment adviser representative in 2 states (NY, TX).
Prospect Financial Services LLC
$431MAssets managed
613Clients
9Advisers
5 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2635431
- Firm CRD
- 314154