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John James Rooney

Commonwealth Financial Network

Westlake, TX

San Diego, CA

San Diego, CA

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-06-05
CA RA APPROVED 2002-11-21
  • TX RA
    APPROVED
    Since 2025-06-05
  • CA RA
    APPROVED
    Since 2002-11-21

Branch Locations

Westlake, TX • United States

600 West Broadway Suite 3200, San Diego, CA 92101 • United States

4715 Viewridge Ave Suite 250, San Diego, CA 92123 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Commonwealth Equity Services, Inc. Waltham MA 08/1988 Present
Commonwealth Equity Services Waltham MA 09/1988 Present
  • 08/1988 → Present
    Commonwealth Equity Services, Inc.
    Waltham, MA
  • 09/1988 → Present
    Commonwealth Equity Services
    Waltham, MA
Other Businesses

TRUSTEE AND POA FOR FAMILY MEMBERS, NOT CONDUCTED AT BRANCH NON-INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-20
S63 Uniform Securities Agent State Law Examination 1985-10-17
  • S65 Uniform Investment Adviser Law Examination
    1996-02-20
  • S63 Uniform Securities Agent State Law Examination
    1985-10-17
Other Names
  • Chip Rooney

View on SEC IAPD

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