Robert B. 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.
Robert Bruce Sweeney was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2001 - October 1, 2012
LANDMARK INVESTMENT GROUP, INC
May 4, 1999 - April 3, 2001
CUNA BROKERAGE SERVICES, INC.
May 14, 1996 - May 6, 1999
HSBC BROKERAGE (USA) INC.
May 1, 1995 - April 15, 1996
M&T SECURITIES, INC.
September 1, 1993 - May 1, 1995
IFMG SECURITIES, INC.
January 5, 1993 - August 18, 1993
MORGAN STANLEY DW 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
Current Firm
LANDMARK INVESTMENT GROUP, INC
CRD#: 44602 / SEC#: , 8-50746
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT CAPITAL HOLDINGS | OWNER | |
| MORROW, MARK DARREN | PRINCIPAL/CEO/CCO | 1708880 |
Disclosures
| Regulatory Event | 2 |
| 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.
