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Michael P. Sweeney

Some features on this profile are disabled
CRD#: 1215021
MS

Professional summary

Michael Patrick Sweeney was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Michael had worked at 2 firms, which includes COMMONWEALTH ASSOCIATES, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 6, 1993 - March 25, 1997

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

January 6, 1984 - April 15, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination

Current Firm

CA
COMMONWEALTH ASSOCIATES
BRUCE-ISAAC SECURITIES CORP. | COMMONWEALTH ASSOCIATES, INC. | COMMONWEALTH ASSOCIATES

CRD#: 20833 / SEC#: , 8-38505

BD
Terminated by SEC on 02/12/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/16/1988
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COMMONWEALTH ASSOCIATES HOLDINGS, LLCDIRECT PARTNER
COMMONWEALTH MANAGEMENT LLC.GENERAL PARTNER
KARPEL, LOUIS MARTINCFO/FINOP5871925
OSULLIVAN, ROBERT ANTHONYPRESIDENT/CEO2305461
PALLOTTA, JOSEPH JOHN JRCCO3089983

Disclosures

Regulatory Event2
Arbitration10

Red Flags

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Company Information

COMMONWEALTH ASSOCIATES

CRD#: 20833

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