Timothy R. 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.
Timothy Richard Sweeney, who also goes by Timothy Sweeney, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1993. Timothy had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2009 - March 25, 2019
DUPONT CAPITAL MANAGEMENT MARKETING CORPORATION
February 21, 2007 - February 9, 2009
MORGAN STANLEY INVESTMENT ADVISORS INC.
February 20, 2007 - February 9, 2009
MORGAN STANLEY DISTRIBUTION, INC.
March 26, 1993 - January 9, 2007
VANGUARD MARKETING CORPORATION
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
DUPONT CAPITAL MANAGEMENT MARKETING CORPORATION
CRD#: 144899 / SEC#: , 8-67681
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUPONT CAPITAL MANAGMENT CORPORATION | SHAREHOLDER | |
| FLORES, WILLIAM | CHIEF COMPLIANCE OFFICER | 4500780 |
| LEA SHARPE, LORIANN | SECRETARY | 6603444 |
| MACEDO, JOHN RAPOZA III | FINANCIAL AND OPERATIONAL PRINCIPAL/ CFO | 5440405 |
| SILL, VALERIE JEAN | DIRECTOR | 4788445 |
| SWEENEY, TIMOTHY RICHARD | PRESIDENT AND DIRECTOR | 2279763 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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