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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)17 years in industry

Max Johann Rooney

Advisor at LPL FINANCIAL LLC

BURLINGTON, VT

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Search this name across graphsid dfx:ria:06409e8c-e4f7-4541-b38d-b486b810a32d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 2, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63|S65
First exam: Jan 2, 2009
First registration: Mar 21, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 5365154

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 8, 2023	n/a	yes	BURLINGTON, VT	Current employment
PEOPLE'S UNITED ADVISORS, INC.	Former SEC adviser	Jan 5, 2023	Nov 15, 2023	no	WILMINGTON, DE	Previous registration
PEOPLE'S UNITED ADVISORS, INC.	Former SEC adviser	Jan 25, 2022	Dec 31, 2022	no	Burlington, VT\|WILMINGTON, DE	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Apr 20, 2021	Dec 8, 2021	no	ALBANY, NY	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Sep 3, 2014	Mar 3, 2021	no	WILLISTON, VT	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Mar 21, 2013	Jul 30, 2014	no	COLCHESTER, VT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PEOPLE'S UNITED ADVISORS, INC.	LPL FINANCIAL LLC	Nov 15, 2023	Jun 8, 2023	-160	Firm change after gap	Other
FIDELITY PERSONAL AND WORKPLACE ADVISORS	PEOPLE'S UNITED ADVISORS, INC.	Dec 8, 2021	Jan 25, 2022	48	Firm change	Ibd to RIA
ADVICE AND PLANNING SERVICES	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Mar 3, 2021	Apr 20, 2021	48	Firm change	Ibd to ibd
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	ADVICE AND PLANNING SERVICES	Jul 30, 2014	Sep 3, 2014	35	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 8, 2023 to presentfactForm ADV
→ PEOPLE'S UNITED ADVISORS, INC.Registered adviserregistration: previous registration
Jan 5, 2023 to Nov 15, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Apr 20, 2021 to Dec 8, 2021factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Sep 3, 2014 to Mar 3, 2021factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Mar 21, 2013 to Jul 30, 2014factForm ADV

Dated events

Occurred
Nov 15, 2023
Advisor changed firm
Max Johann Rooney left People'S United Advisors, Inc. for Lpl Financial Llc (registered 2023-06-08)
Form ADVobserved 6 days ago