James R. 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 Robert Sweeney, CFA, who also goes by Bob Sweeney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53 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
April 7, 2004 - March 24, 2023
SWEENEY ASSET MANAGEMENT LLC
February 14, 2000 - April 7, 2000
AMSOUTH INVESTMENT SERVICES, INC.
February 1, 1997 - February 14, 2000
INVEST FINANCIAL CORPORATION
January 5, 1996 - February 1, 1997
AMERISTAR CAPITAL MARKETS, INC.
July 13, 1994 - December 6, 1995
ICBA SECURITIES
July 8, 1994 - December 6, 1995
VINING-SPARKS IBG, LLC
April 3, 1991 - July 6, 1994
MORGAN KEEGAN & COMPANY, LLC
January 1, 1991 - March 22, 1991
VINING-SPARKS IBG, LLC
August 22, 1989 - March 22, 1991
ICBA SECURITIES
January 5, 1987 - January 1, 1991
VINING-SPARKS 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
SWEENEY ASSET MANAGEMENT LLC
CRD#: 130567 / SEC#: 801-62928
Contact information
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 100,592,088 |
Red Flags
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