Michael P. Sweeney
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 1993 - March 25, 1997
COMMONWEALTH ASSOCIATES
January 6, 1984 - April 15, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
COMMONWEALTH ASSOCIATES
CRD#: 20833 / SEC#: , 8-38505
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 10 |
Red Flags
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