JS
Joseph E. Sweeney
CORNERSTONE WEALTH
San Francisco, CA
Some features on this profile are disabled
CRD#: 1299368
JS
Professional summary
Joseph Edward Sweeney III, who also goes by Joe Sweeney, Joseph Edward Sweeney Jr, is a registered financial advisor currently at CORNERSTONE WEALTH located in San Francisco, California and MUTUAL SECURITIES, INC. located in San Francisco, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Joseph has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Sweeney | Joseph Edward Sweeney Jr
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.
1. Cornerstone Wealth Group, LLC - Primarily conduct as Cornerstone Wealth, Start Date: 02/22/2021, 16810 Kenton Dr., Ste. 200, Huntersville, NC 28078, LLC, RIA, Business Development Role, Introduce potential clients/relationships to the firm, 160 Hours per month, 160 Hours per day during trading hours. 2. Green Visor Capital Management Company, LLC., Start Date: 11/01/2017, 88 Kearney St., Ste. 850, San Francisco, CA 94108, LLC, Ventura Capital Firm, Advisory Board to Venture Firm, Advisory Board Member, The board exists for procedural issues around fund investments, has Zero input into decisions about investments, for example, the fund documents may say that in normal times, an investment may be no more than 20% of an individual funds, Contemplate a situation where the fund is offered a prorata opportunity to invest in a follow on round for the company, If the fund chose not to take the opportunity, it would be significantly diluted, If it did take the opportunity, the concentration would be pushed over 20%, the Advisory Board would consult on such a matter, Really it exists for procedural, not investment issues around the Green Visor Funds, Investment Related, 4 Hours per month, 2 Hours per day during trading hours. 3. Gryphon Capital Management, Start Date: 03/01/1995, 21 Presidio Terrace, San Francisco, CA 94118, LLC, Holding Companies for various partnerships, General Partner, Observe long term investments, Investment Related, 0-5 Hours per month, 0-5 Hours per day during trading hours. 4. LSS Art Advisory, LLC., Start Date: 2012, 3627 Sacramento St., San Francisco, CA 94118, LLC, Spouse's Art Advisory Business, 1% Partner, Duties-None, Not Investment Related, 0 Hours per month, 0 Hours per day during trading hours. 5. Pacific Union Club, Start Date: 04/01/2020, 1000 California St., San Francisco, CA 94109, Club, Club, Member, Sit on Retirement Committee, Not Investment Related, 0-5 Hours per month, 0-5 Hours per day during trading hours. 6. RRR Ventures, Start Date: 01/01/2005, 5171 Big Ranch Rd., Napa, CA 94558, LLC, Vineyard, General Partner, Vineyard Owner, Not Investment Related, 2 Hours per month, 0 Hours per day during trading hours. 7. Strategic Project Solutions, Start Date: 08/01/2019, 2229 San Felipe St., Ste. 1325, Houston, TX 77019, Corporation, Software Company, Positioning Business for sale, disposition of airplane, other financial issues, Not Investment Related, 0-5 Hours per month, 0-5 Hours per day during trading hours. 8. CION, Start Date: 12/01/2022, 8000 Tonkawa Trail, McKinney, TX 75070, LLC, Lending Software, Advisor, Advise time to time on business strategy and introducing centers of influence in the lending and/or software industry, Not Investment Relate, 1-5 Hours per month, 1-5 Hours per day during trading hours. 9. Preservation Hall Foundation, Start Date: 11/28/2022, 752 St. Peter St., New Orleans, LA 70116, Non-Profit, Non-Profit for musical charity, Advisory Board Member, Introduce potential donors to the foundation, Not Investment Related, 1-5 Hours per month, 1-5 Hours per day during trading hours. 10. Dillard University Trustee - Member, Finance, Investment Committee, Start Date: 10/01/2023, 2601 Gentilly Ave, New Orleans, LA 70122, Non-Profit, University Edu, Trustee, Member of Finance Investment Committee, Not Investment Related, 5 Hours per month, 0 Hours per day during trading hours. 11. CWG Management Group, LLC., Start Date: 01/01/2018, 16810 Kenton Dr., Ste. 200, Huntersville, NC 28078, LLC, Management Company with operating authority and control over CWG (RIA entity), Managing Member, Management duties, 10 Hours per week, 2 Hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Edward Sweeney III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 5, 2021 - Present
CORNERSTONE WEALTH
RIA
CRD#: 289971
San Francisco, CA
Current
March 13, 2021 - Present
MUTUAL SECURITIES, INC.
Office #1: 1736 Stockton St. Ste. 1, San Francisco, CA 94133BD
CRD#: 13092
San Francisco, CA
Past
January 5, 2018 - August 5, 2019
CORNERSTONE WEALTH
RIA
CRD#: 289971
San Francisco, CA
Past
November 2, 2017 - May 10, 2019
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
San Francisco, CA
Past
October 3, 2015 - December 31, 2017
CORNERSTONE WEALTH
RIA
CRD#: 157935
San Francisco, CA
Past
September 9, 2015 - November 8, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN FRANCISCO, CA
Past
March 30, 1995 - September 27, 2014
GRYPHON CAPITAL MANAGEMENT, LLC
RIA
CRD#: 135460
NAPA, CA
Past
September 24, 1984 - April 12, 1995
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CORNERSTONE WEALTH
CORNERSTONE ENTERPRISE SOLUTIONS GROUP | INVESTMENT DYNAMEX | CORNERSTONE WEALTH GROUP, LLC | CORNERSTONE WEALTH | CORNERSTONE SPORTS ADVISORY GROUP | CORNERSTONE RETIRE
CRD#: 289971 / SEC#: 801-112164
RIA
Registered Investment Advisory firm - (12/22/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/12/2024)
IAR
California(3/5/2021)
RR
California(3/13/2021)
RR
Colorado(9/22/2022)
RR
Florida(10/2/2022)
RR
Georgia(8/4/2022)
RR
Illinois(8/4/2022)
RR
Indiana(1/19/2023)
RR
Kansas(8/23/2022)
RR
Kentucky(9/7/2022)
RR
Louisiana(1/23/2023)
RR
Maryland(8/4/2022)
RR
Michigan(8/23/2022)
RR
Minnesota(10/21/2022)
RR
Missouri(10/20/2023)
RR
Nevada(2/23/2023)
RR
New Jersey(8/10/2022)
RR
New Mexico(1/21/2025)
RR
New York(8/2/2022)
RR
North Carolina(7/19/2022)
RR
Ohio(8/5/2022)
RR
Oklahoma(9/1/2023)
RR
Oregon(10/20/2023)
RR
South Carolina(8/4/2022)
RR
South Dakota(9/7/2022)
RR
Tennessee(8/10/2022)
RR
Texas(8/4/2022)
RR
Virginia(8/4/2022)
RR
Washington(11/14/2024)
RR
Wisconsin(8/4/2022)
RR
Wyoming(8/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CORNERSTONE WEALTH
CORNERSTONE ENTERPRISE SOLUTIONS GROUP | INVESTMENT DYNAMEX | CORNERSTONE WEALTH GROUP, LLC | CORNERSTONE WEALTH | CORNERSTONE SPORTS ADVISORY GROUP | CORNERSTONE RETIRE
CRD#: 289971 / SEC#: 801-112164
RIA
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Contact information
Main Address
16810 Kenton Drive Suite 200, Huntersville, NC 28078
Mailing Address
Phone number
(704) 987-3410
Established
Firm type
Fiscal year end
# of Employees
50
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,834 |
| AUM (Assets Under Management) | $ 2,108,342,140 |
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.
