Kevin M. Sweeney

CYPRESS ASSOCIATES

New York, NY 10017

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CRD#: 2222633

Professional summary

Kevin Michael Sweeney is a registered financial professional currently at CYPRESS ASSOCIATES located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

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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

August 24, 2004 - Present

CYPRESS ASSOCIATES

Office #1: 52 Vanderbilt Avenue, Suite 902, New York, NY 10017

CRD#: 130252

New York, NY

Past

August 15, 2002 - July 14, 2003

CHATSWORTH SECURITIES LLC

CRD#: 40804

GREENWICH, CT

Past

February 6, 1995 - June 1, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 12, 1994 - October 4, 1994

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/1/2014)

New Jersey
(8/13/2014)

New York
(9/16/2004)

Pennsylvania
(8/19/2014)

Texas
(3/12/2012)

Exams

State Security Law Exam

Series 63

Date: 8/30/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 6/4/2004

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CYPRESS ASSOCIATES

CYPRESS ASSOCIATES | CYPRESS PARTNERS LLC

CRD#: 130252 / SEC#: , 8-66321

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

52 Vanderbilt Avenue, Suite 501, New York, NY 10017

Mailing Address

52 Vanderbilt Avenue, Suite 501, New York, NY 10017

Phone number

(212) 682-2222

Established

Connecticut since 10/01/2003

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ATKINS, JOHN TREVOR	GENERAL PRINCIPAL AND CHIEF EXECUTIVE OFFICER	1473955
SWEENEY, KEVIN MICHAEL	FINOP, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER	2222633
TOLMIE, JOHN STRATTON	REGISTERED REP.	2535923

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Kevin M. Sweeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Michael Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHATSWORTH SECURITIES LLC

CIBC WORLD MARKETS CORP.

CREDIT AGRICOLE SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/2002

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2002

Series 28

Date: 6/4/2004

Series 24

Date: 5/16/1997

FINRA

Current Firm

CYPRESS ASSOCIATES

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CYPRESS ASSOCIATES

TRUST BUT VERIFY

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