Montgomery B. Sweeney

SWEENEY ASSET MANAGEMENT

Oklahoma City, OK 73118

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CRD#: 2209714

Professional summary

Montgomery Benjamin Sweeney, who also goes by Mont Benjamin Sweeney, Mont Sweeney, is a registered financial advisor currently at SWEENEY ASSET MANAGEMENT, LLC located in Oklahoma City, Oklahoma.

Montgomery is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Montgomery has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mont Benjamin Sweeney | Mont Sweeney

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Montgomery Benjamin Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 12, 2006 - Present

SWEENEY ASSET MANAGEMENT, LLC

Office #1: 720 Nw 50th St. Suite 101, Oklahoma City, OK 73118

RIA

CRD#: 138312

Oklahoma City, OK

Past

August 10, 2000 - December 15, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

July 7, 2000 - December 15, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 18, 1996 - July 12, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

June 7, 1994 - June 17, 1996

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

March 11, 1992 - May 18, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(9/22/2006)

IAR

Texas
(6/1/2010)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/10/1992

General Securities Representative Examination

Current Firm

SWEENEY ASSET MANAGEMENT, LLC

CRD#: 138312 / SEC#:

Georgia

Registered Investment Advisory firm - (11/4/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/22/2006 Approved)

Texas

Registered Investment Advisory firm - (6/1/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

720 Nw 50th St. Suite 101, Oklahoma City, OK 73118

Mailing Address

Phone number

(405) 601-9390

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 25,719,560

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.

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Montgomery B. Sweeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Montgomery Benjamin Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWEENEY ASSET MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.C. BRADFORD & CO.

THE ROBINSON-HUMPHREY COMPANY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/1992

Series 63

Date: 3/26/1992

Series 7

Date: 3/10/1992

Current Firm

SWEENEY ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWEENEY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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