Sean Rooney has been Managing Partner and Chief Compliance Officer of Prospect Financial Services since July 2021, is a control person of the firm and directly owns between 50% and 75% of it. Sean Rooney holds a BA in Business Administration from C.W. Post University.
Prospect Financial Services LLC is a Melville, NY firm with $431M under management, 613 clients and 9 advisers in one office, as of its March 2026 filing.
Sean P. Rooney is Managing Partner of Prospect Financial Services. He joined the firm in 2019 and launched its SEC-registered RIA in 2021. He works with the team on strategic planning and spearheads the firm's investment strategy for clients. Before 2019 he was a Financial Advisor at Pinnacle Financial Group and LPL Financial, and earlier served as Senior Director of Investments at Oppenheimer & Co.
Sean Rooney’s longest registration is the current one, 4 years at Prospect Financial Services since 2021. Before joining Prospect Financial Services in 2021, Sean Rooney was registered through The Pinnacle Financial Group and Oppenheimer & Co. Inc.
- – present · 4 yearsMelville, NY · Adviser representative · Firm CRD 314154
- The Pinnacle Financial Group– · under a yearMelville, NY · Adviser representative · Firm CRD 164395
- Oppenheimer & Co. Inc.– · 1 yearMelville, NY · Adviser representative · Firm CRD 249
Investment adviser representative registrations
Sean Rooney is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from December 2021; the most recent is Texas, in March 2022.
- New YorkSince 21 December 2021
- TexasResidentSince 15 March 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 May 2014 |
| Series 24 | General Securities Principal Examination | 29 April 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 November 1995 |
| Series 7 | General Securities Representative Examination | 31 October 1995 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Sean Peter Rooney
- CRD
- 2635431
- Firm
- Prospect Financial Services · CRD 314154
- Role
- Managing Partner and Chief Compliance Officer
- Office
- 445 BROAD HOLLOW ROAD, SUITE CL-43, Melville, NY 11747
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1995
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- profinserv.net
Where does Sean Rooney work?
Sean Rooney has been Managing Partner and Chief Compliance Officer of Prospect Financial Services LLC since July 2021, and is a control person of the firm.
Is Sean Rooney a financial advisor?
Yes. Sean Rooney has a current investment-adviser registration in New York and Texas, through Prospect Financial Services since December 2021.
How many years of experience does Sean Rooney have?
Sean Rooney has 30 years in the financial industry, since October 1995, across 3 adviser firms.
What exams has Sean Rooney passed?
Sean Rooney has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 65. The earliest, the Series 7, was passed in October 1995. FINRA credited Sean Rooney with the SIE, which began in October 2018.
Where did Sean Rooney work before Prospect Financial Services?
Before Prospect Financial Services, Sean Rooney was registered through Oppenheimer & Co. Inc., October 2014 to November 2015.
Where is Sean Rooney based?
Sean Rooney’s registered office is in Melville, NY.
Is Sean Rooney registered with FINRA?
Yes. Sean Rooney has a current broker registration, under CRD 2635431.
Source: FINRA BrokerCheck
How can I verify Sean Rooney’s record?
Search CRD 2635431 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Sean Rooney’s full registration record.