Sean Rooney joined Prospect Financial Services in 2019 as our Managing Partner and launched our SEC Registered RIA (Registered Investment Advisory) in 2021. Sean will be working hand and hand to lead our team in strategic planning as well as spearhead our investment strategy for clients. Sean is a veteran of the financial markets and has worked in many different capacities throughout his career as a financial advisor.
Prior to 2019 Sean worked as 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.. Sean currently advises a clientele of high net worth investors, institutions and foundations. Sean 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 (General Securities Representative), Series 24 (General Securities Principal), and Series 63 (Uniform Securities Law license) with LPL Financial and the Series 65 (Uniform Investment Advisor Law) with Prospect Financial Services, LLC. Sean also holds his New York Life and Health insurance licenses.
Sean is an active member in his community, and a past President of the Bay Shore Youth Lacrosse League. Sean, his wife Cheryl and their two boys are frequent volunteers for a number of local charities.