Max Rooney is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Burlington, VT, with 17 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
77 Pine St, Burlington, VT, 05401
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Max operates under Wilmington Advisors @ M&T as a DBA for his LPL business and is a Senior Wealth Advisor, SVP at Wilmington Trust. He also works as a notary.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
People's United Advisors, INC.
People's United Advisors, INC.
People's Securities, INC.Broker
Fidelity Personal and Workplace Advisors
Fidelity Brokerage Services LLCBroker
Advice and Planning Services
Tiaa-Cref Individual & Institutional Services, LLCBroker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
State Registrations1 state
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.