Steven R. Sweezea
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.
Steven Ray Sweezea, who also goes by Steven R Sweezea, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 4 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 6, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2016 - March 11, 2021
HARVEST INVESTMENT SERVICES, LLC
August 22, 2014 - October 28, 2015
OSAIC SERVICES, INC.
April 13, 2010 - November 28, 2011
WADDELL & REED
December 10, 2009 - November 28, 2011
WADDELL & REED
August 9, 1989 - November 21, 1989
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
HARVEST INVESTMENT SERVICES, LLC
CRD#: 159390 / SEC#: 801-79232
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
HARVEST INVESTMENT SERVICES, LLC
CRD#: 159390 / SEC#: 801-79232
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,335 |
| AUM (Assets Under Management) | $ 534,204,368 |
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.
