Catherine L. Sweeney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catherine Linda Sweeney, who also goes by Catherine Fox, Catherine Fox Sweeney, Cathy Sweeney, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1984. Catherine had worked at 22 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2015 - January 8, 2016
MJ CAPITAL PARTNERS, LLC
March 25, 2011 - April 2, 2014
FIRST REPUBLIC SECURITIES COMPANY, LLC
July 14, 2010 - February 8, 2016
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
August 19, 2004 - September 30, 2010
FIRST REPUBLIC WEALTH ADVISORS, LLC
August 2, 2004 - February 8, 2016
FIRST REPUBLIC SECURITIES COMPANY, LLC
May 1, 2003 - December 31, 2003
UHY CAPITAL GROUP, LLC
July 3, 2002 - October 28, 2002
WELLS FARGO INVESTMENT SERVICES, LLC
June 20, 2002 - April 28, 2003
WELLS FARGO INVESTMENTS, LLC
May 15, 2001 - November 2, 2001
WELLS FARGO SECURITIES INC.
October 11, 2000 - April 28, 2003
WELLS FARGO INVESTMENTS, LLC
February 8, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 16, 1998 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 5, 1997 - December 3, 1997
DEMPSEY FINANCIAL NETWORK, INC.
December 19, 1996 - June 3, 1997
IFG NETWORK SECURITIES, INC.
July 19, 1995 - December 20, 1996
BUCKHEAD FINANCIAL CORPORATION
February 24, 1995 - July 3, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 1994 - July 11, 1995
MERIDIAN, DUNHILL & CO., INC.
September 26, 1994 - December 2, 1994
JOSEPHTHAL & CO., INC.
January 10, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
August 6, 1992 - December 16, 1993
UBS FINANCIAL SERVICES INC.
March 31, 1992 - March 26, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 22, 1991 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
May 16, 1989 - September 1, 1989
UBS FINANCIAL SERVICES INC.
July 2, 1985 - February 10, 1988
MORGAN STANLEY DW INC.
April 25, 1985 - June 13, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 1984 - May 31, 1985
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MJ CAPITAL PARTNERS, LLC
CRD#: 150938 / SEC#: , 8-68316
Contact information
FINRA licenses (28 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
