James P. 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.
James Paul Sweeney SR, who also goes by J Paul Sweeney, James Paul Sweeney, Paul Sweeney, J Paul Sweeny, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 20 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
October 26, 2017 - July 3, 2018
SOUTHEAST INVESTMENTS, N.C., INC.
March 28, 2006 - August 25, 2017
STIFEL INDEPENDENT ADVISORS, LLC
March 27, 2006 - August 25, 2017
STIFEL INDEPENDENT ADVISORS, LLC
February 26, 2003 - March 29, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 10, 2003 - March 29, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 10, 2001 - March 3, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 10, 2001 - March 3, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 13, 2001 - August 23, 2001
EDWARD JONES
July 18, 2000 - June 25, 2001
SOUTHTRUST SECURITIES, LLC
August 5, 1998 - August 2, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 1, 1998 - August 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 15, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
June 13, 1996 - January 28, 1997
BNY MELLON SECURITIES CORPORATION
February 15, 1996 - July 9, 1996
SECURITIES SERVICE NETWORK, LLC
April 7, 1995 - July 5, 1995
ESSEX NATIONAL SECURITIES, LLC
January 3, 1994 - March 13, 1995
WORLD INVEST CORPORATION
December 8, 1993 - March 13, 1995
WORLD INVEST CORPORATION
August 12, 1993 - December 8, 1993
MARKETING ONE SECURITIES, INC.
June 3, 1992 - September 20, 1993
SIGNATOR INVESTORS, INC.
August 14, 1990 - June 2, 1992
WORLD INVEST CORPORATION
January 26, 1990 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
July 3, 1989 - February 5, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 1988 - July 19, 1989
INVESTACORP, INC.
February 2, 1988 - July 28, 1988
FSC SECURITIES CORPORATION
November 27, 1985 - February 11, 1988
WACHOVIA SECURITIES, INC.
May 6, 1985 - November 18, 1985
ELLIOTT SECURITIES, 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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
