Sean M. 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.
Sean Michael Sweeney was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1990. Sean had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 27, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2002 - April 10, 2015
KILDARE CAPITAL, INC.
November 2, 1994 - November 6, 2000
USACAPITAL INC.
July 31, 1993 - October 11, 1994
CITIGROUP GLOBAL MARKETS INC.
May 22, 1990 - July 31, 1993
LEHMAN BROTHERS 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
Series 8
Date: 12/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KILDARE CAPITAL, INC.
CRD#: 45796 / SEC#: , 8-51198
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Judgment/Lien | 1 |
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.
