Unclaimed Profile

John James Rooney

COMMONWEALTH EQUITY SERVICES, LLC·WALTHAM, Massachusetts

SIE, Series 3, Series 7, Series 24, Series 63, Series 65Clean record37 years registeredCOMMONWEALTH EQUITY SERVICES, LLC

29 SAWYER ROAD, WALTHAM, MA 02453-3483CRD# 1410648Firm CRD# 8032

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John James Rooney · WALTHAM, MA

Registration

CRD #1410648 · COMMONWEALTH EQUITY SERVICES, LLC · 37 years registered

Brand Profile

Not yet started

Career History

COMMONWEALTH FINANCIAL NETWORK

Nov 2002 – present

COMMONWEALTH FINANCIAL NETWORK

Sep 1988 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · September 28, 1988

Years registered · 37

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

COMMONWEALTH EQUITY SERVICES, LLC

CRD 8032 · SEC 801-41541

AUM

$177.0B

Regulatory assets under management

Employees

4,500

623,075 client accounts

Services offered by COMMONWEALTH EQUITY SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at COMMONWEALTH EQUITY SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does John James Rooney offer?

John James Rooney specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in WALTHAM, Massachusetts for a consultation.

What are John James Rooney's credentials?

John James Rooney is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John James Rooney located?

John James Rooney is based in WALTHAM, Massachusetts, working with COMMONWEALTH EQUITY SERVICES, LLC. Their office serves clients in the WALTHAM metropolitan area and surrounding communities.

How does John James Rooney charge for services?

John James Rooney's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is COMMONWEALTH EQUITY SERVICES, LLC?

COMMONWEALTH EQUITY SERVICES, LLC has approximately 4500 employees and manages $177.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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