John M. 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.
John Michael Sweeney, who also goes by Mike Sweeney, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2009 - October 7, 2020
KMS FINANCIAL SERVICES, INC.
September 28, 2009 - October 7, 2020
KMS FINANCIAL SERVICES, INC.
July 20, 2001 - September 30, 2009
NATIONAL PLANNING CORPORATION
February 2, 2001 - September 30, 2009
NATIONAL PLANNING CORPORATION
May 18, 1993 - February 13, 2001
NATHAN & LEWIS SECURITIES, INC.
February 5, 1990 - May 26, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
January 12, 1989 - February 3, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 8, 1985 - October 13, 1988
WS GRIFFITH SECURITIES, INC.
November 25, 1983 - April 12, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
