Mark Sweeney

STONEX FINANCIAL

New York, NY 10169

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CRD#: 1474175

Professional summary

Mark Sweeney is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 7 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Sweeney's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 3, 2019 - Present

STONEX FINANCIAL INC.

Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169

CRD#: 45993

New York, NY

Past

August 20, 2019 - November 1, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

NEW YORK, NY

Past

May 21, 2012 - March 7, 2019

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

New York, NY

Past

November 14, 2000 - May 23, 2012

JACKSON SECURITIES LLC

CRD#: 19897

STAMFORD, CT

Past

January 31, 1990 - October 5, 2000

GREENWICH PARTNERS, LLC

CRD#: 14074

STAMFORD, CT

Past

May 14, 1988 - June 14, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 19, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(12/4/2019)

Connecticut
(11/18/2024)

Florida
(12/4/2019)

Illinois
(12/4/2019)

Massachusetts
(12/4/2019)

New York
(12/3/2019)

Exams

State Security Law Exam

Series 63

Date: 6/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Mailing Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Phone number

(407) 741-5300

Established

Florida since 05/29/1998

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEX GROUP INC.	OWNER
BOLTE, DAVID ALBERT	SECRETARY	2711410
DAVISON, STUART ANDREW	DIRECTOR; CHIEF OPERATING OFFICER	7824576
DICIOLLO, ANTHONY JOSEPH	PRESIDENT/DIRECTOR	4976402
DUNAWAY, WILLIAM JOHN	DIRECTOR, CHIEF FINANCIAL OFFICER	6505923
LYON, CHARLES MARTIN	DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER	4000852
MAURER, MARK L	DIRECTOR, CHIEF RISK OFFICER	4234406
PORZIO, JOSEPH JOHN	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	1319702
SMITH, PHILIP ANDREW	DIRECTOR	4999097
SZEKELY, GIGI KLARA	CHIEF COMPLIANCE OFFICER - BD DIVISION	2530826

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark Sweeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE WILLIAMS CAPITAL GROUP, L.P.

KEYBANC CAPITAL MARKETS INC.

JACKSON SECURITIES LLC

GREENWICH PARTNERS, LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/11/2001

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1986

FINRA

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX FINANCIAL INC.

TRUST BUT VERIFY

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