James Joseph Mcsweeney
Professional Summary
James Joseph Mcsweeney, who also goes by Jim Mcsweeney, is a registered financial advisor currently at DAVINCI CAPITAL MANAGEMENT, INC. located in Cambridge, Massachusetts and CIP CAPITAL MANAGEMENT, LLC located in Cambridge, Massachusetts. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Mcsweeney
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
DAVINCI CAPITAL MANAGEMENT INC. | DAVINCI CAPITAL MANAGEMENT, INC.
Contact Information
Main Address
801 Cambridge St., Cambridge, MA 02141Mailing Address
801 Cambridge St., Cambridge, MA 02141Phone Number
(617) 354-3222Established
Delaware since 12/15/1998Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
4FINRA licenses (13 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
102AUM (Assets Under Management)
$60,295,000Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(9/28/2006)
(2/20/2009)
(3/21/2013)
(1/3/2018)
(1/16/2008)
(10/31/2001)
(12/8/2008)
(12/2/2005)
(3/31/2008)
(1/8/2004)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1987About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2002About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Mcsweeney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Mcsweeney's CRS (Customer Relationship Summary).
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