Sean Peter Rooney

Current Employers

Employment History

• 10/2015 → Present
  Lpl Financial Llc
  Melville, NY
• 01/2016 → 12/2021
  Pinnacle Financial Group
  Melville, NY
• 12/2021 → Present
  Prospect Financial Services Llc
  Melville, NY

Previous Registrations

• 2021-09-02 → 2021-12-31
  The Pinnacle Financial Group
  Rockville Centre, NY
  Melville, NY
• 2014-10-27 → 2015-11-03
  Oppenheimer & Co. Inc.
  Melville, NY

Other Businesses

1. 05/19/2016 * Liberty Asset Management * Business Entity For Tax/Investment Purposes Only * inv rel * 9 south long beach road, Rockville Centre NY 11570 * start 12/15/15 * subchapter S for tax purposes 100% owned by Sean Rooney * 200 hrs/mo. 2. 02/15/2017 - 584 Middle Road Corp. - Investment Related - Sayville, NY - Real Estate Rental - Started 01/01/2014 - 1 Hour Per Month/1 Hour During Securities Trading 3. 02/15/2017 - No Business Name - Investment Related - Islip, NY - Real Estate Rental - Started 01/01/2013 - I Hour Per Month/1 Hour During Securities Trading. 4. 3/21/2017 - Bayport Management - Investment Related - Sayville, NY - Real Estate Rental - Started 01/01/2014 - 1 Hour Per Month During Securities Trading. 5. 1/28/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/11/2019 - 5 Hours Per Month/0 Hours During Securities Trading. 6. 10/11/2019 - Prospect Financial Services - DBA for LPL Business (entity for LPL business) - Inv. Related - Melville, NY - Registered Representative of LPL a broker dealer - 5-10% 7. 12/27/2021 - Prospect Financial Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 12/21/2021 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Prospect Financial Services LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-05-20
• S63 Uniform Securities Agent State Law Examination
  1995-11-09