JR
JR
James Rooney
38 Years of Experience
Winter Garden, FL
2 DisclosuresBroker
James Rooney is a registered investment advisor at Morgan Stanley, based in Winter Garden, FL, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
Winter Garden, FL
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Regulatory History (2)
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Customer Dispute
March 2004Settled
Customer Dispute
May 2003Denied
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
January 2001 - June 2009 · 8 yrs 5 mos
Citigroup Global Markets INC.Broker
November 2000 - June 2009 · 8 yrs 7 mos
Painewebber IncorporatedBroker
May 1993 - December 2000 · 7 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1988 - May 1993 · 5 yrs 4 mos
State Registrations41 states
AKALAZCACOCTDCDEFLGAILINKYMAMDMEMIMNMOMSMTNCNHNJNVNYOHORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.