Max Rooney is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Burlington, VT, with 17 years of industry experience. Max is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
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.
Learn about disclosures →Other Business Activities
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.
Exams
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