Michael L. Sweetland
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.
Michael L Sweetland, who also goes by Michael Sweetland, Michael Lee Sweetland, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 3 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2018 - April 24, 2024
FIRST COMMAND ADVISORY SERVICES
April 20, 2018 - April 24, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.
December 22, 2017 - April 18, 2018
NYLIFE SECURITIES LLC
August 13, 2012 - November 1, 2017
PRUCO SECURITIES, LLC.
November 17, 2011 - November 1, 2017
PRUCO SECURITIES, LLC.
May 15, 2008 - December 1, 2011
NYLIFE SECURITIES LLC
June 4, 2007 - March 3, 2008
WELTON STREET INVESTMENTS LLC
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
Red Flags
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