Richard A. 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.
Richard A Sweeney, who also goes by Richard Andrew Sweeney, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 17 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 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
January 12, 2023 - February 29, 2024
C2M SECURITIES, LLC
December 1, 2022 - March 24, 2023
GREENLEYS CAPITAL MARKETS LLP
April 7, 2022 - May 28, 2025
TAPP ENGINE SECURITIES
February 25, 2021 - January 3, 2022
LPL FINANCIAL LLC
February 10, 2017 - March 18, 2019
BRG CAPSTONE CAPITAL ADVISORS
June 15, 2015 - June 25, 2019
JM FINANCIAL SECURITIES, INC.
December 19, 2013 - June 12, 2014
EAST SHORE PARTNERS, INC.
January 16, 2013 - March 27, 2014
FOCUSPOINT PRIVATE CAPITAL GROUP
April 17, 2012 - March 1, 2017
SWEDBANK SECURITIES US, LLC
January 24, 2011 - February 4, 2013
A.B. WATLEY DIRECT, INC.
November 1, 2010 - January 10, 2011
BROOKSTONE SECURITIES, INC.
March 29, 2010 - October 18, 2010
GLOBAL ARENA CAPITAL CORP
November 3, 2008 - November 4, 2009
MSI FINANCIAL SERVICES, INC.
November 20, 2002 - December 16, 2008
AURIGA USA, LLC
January 11, 2002 - January 22, 2003
PECONIC SECURITIES LLC
July 24, 2000 - November 30, 2000
VIEWTRADE FINANCIAL
July 7, 1997 - November 3, 1998
DAIWA CAPITAL MARKETS AMERICA 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
C2M SECURITIES, LLC
CRD#: 38924 / SEC#: , 8-48466
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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