Bryan D. Mcsweeney
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.
Bryan Douglas Mcsweeney, who also goes by Bryan Douglas Mcsweeney, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1986. Bryan had worked at 17 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2012 - April 27, 2012
LPL FINANCIAL LLC
November 12, 2007 - July 20, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
November 12, 2007 - July 20, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
July 21, 2005 - June 12, 2006
CHARLES SCHWAB & CO., INC.
July 21, 2005 - June 12, 2006
CHARLES SCHWAB & CO., INC.
March 23, 2004 - August 3, 2005
AMERICAN GENERAL FINANCIAL ADVISORS, INC.
January 9, 2004 - July 22, 2005
VALIC FINANCIAL ADVISORS, INC.
December 5, 2003 - July 22, 2005
VALIC FINANCIAL ADVISORS, INC.
June 23, 1999 - December 9, 2003
CITICORP INVESTMENT SERVICES
November 19, 1998 - December 3, 1998
ROBERT W. BAIRD & CO. INCORPORATED
November 19, 1998 - December 3, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 2, 1997 - December 10, 1997
CUSO FINANCIAL SERVICES, L.P.
March 11, 1996 - August 28, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 22, 1992 - January 22, 1996
BA INVESTMENT SERVICES, INC.
April 13, 1992 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
January 26, 1990 - March 4, 1991
SECURIAN FINANCIAL SERVICES, INC.
January 13, 1988 - October 1, 1988
IVY DISTRIBUTORS, INC.
September 4, 1987 - November 19, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
May 27, 1986 - August 3, 1987
SOUTHMARK CAPITAL RESOURCE
March 10, 1986 - July 1, 1986
TRANSAMERICA CAPITAL, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
