Owen T. 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.
Owen Thomas Sweeney was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1987. Owen had worked at 8 firms and has passed the Series 63, Series 65 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
May 27, 2011 - April 26, 2013
PLANMEMBER SECURITIES CORPORATION
May 27, 2011 - April 26, 2013
PLANMEMBER SECURITIES CORPORATION
January 10, 2005 - May 2, 2011
QUESTAR ASSET MANAGEMENT, INC.
July 8, 2003 - December 31, 2005
QUESTAR CAPITAL CORPORATION
July 8, 2003 - May 2, 2011
QUESTAR CAPITAL CORPORATION
June 26, 2002 - July 9, 2003
LPL FINANCIAL LLC
June 26, 2002 - July 9, 2003
LPL FINANCIAL LLC
April 8, 2002 - June 28, 2002
QUESTAR CAPITAL CORPORATION
May 27, 1998 - June 28, 2002
QUESTAR CAPITAL CORPORATION
April 2, 1997 - June 29, 1998
SII INVESTMENTS, INC.
January 21, 1995 - March 25, 1997
MARINER FINANCIAL SERVICES, INC.
October 22, 1987 - December 22, 1994
TRANSAMERICA SECURITIES SALES CORPORATION
February 26, 1987 - December 22, 1994
TRANSAMERICA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
