Richard A. Sweeney

DOWLING & PARTNERS SECURITIES LLC

Farmington, CT 06032

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CRD#: 2396562

Professional summary

Richard A Sweeney, who also goes by Richard Andrew Sweeney, is a registered financial professional currently at DOWLING & PARTNERS SECURITIES LLC located in Farmington, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 18 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

Are you a "fiduciary"?

Aliases

Richard Andrew 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) - BD

Click below to view Richard A Sweeney's CRS (Customer Relationship Summary).

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

January 15, 2026 - Present

DOWLING & PARTNERS SECURITIES LLC

Office #1: 190 Farmington Avenue, Farmington, CT 06032

CRD#: 24746

Farmington, CT

Past

January 12, 2023 - February 29, 2024

C2M SECURITIES, LLC

CRD#: 38924

RICHMOND, VA

Past

December 1, 2022 - March 24, 2023

GREENLEYS CAPITAL MARKETS LLP

CRD#: 168558

NYC, NY

Past

April 7, 2022 - May 28, 2025

TAPP ENGINE SECURITIES

CRD#: 314806

QUINCY, MA

Past

February 25, 2021 - January 3, 2022

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 10, 2017 - March 18, 2019

BRG CAPSTONE CAPITAL ADVISORS

CRD#: 282519

New York, NY

Past

June 15, 2015 - June 25, 2019

JM FINANCIAL SECURITIES, INC.

CRD#: 166504

NEW YORK, NY

Past

December 19, 2013 - June 12, 2014

EAST SHORE PARTNERS, INC.

CRD#: 28999

HAUPPAUGE, NY

Past

January 16, 2013 - March 27, 2014

FOCUSPOINT PRIVATE CAPITAL GROUP

CRD#: 122341

NEW YORK, NY

Past

April 17, 2012 - March 1, 2017

SWEDBANK SECURITIES US, LLC

CRD#: 141190

NEW YORK, NY

Past

January 24, 2011 - February 4, 2013

A.B. WATLEY DIRECT, INC.

CRD#: 18663

NY, NY, NY

Past

November 1, 2010 - January 10, 2011

BROOKSTONE SECURITIES, INC.

CRD#: 13366

UNIONDALE, NY

Past

March 29, 2010 - October 18, 2010

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

DEER PARK, NY

Past

November 3, 2008 - November 4, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HAUPPAUGE, NY

Past

November 20, 2002 - December 16, 2008

AURIGA USA, LLC

CRD#: 121731

GARDEN CITY, NY

Past

January 11, 2002 - January 22, 2003

PECONIC SECURITIES LLC

CRD#: 46781

NEW YORK, NY

Past

July 24, 2000 - November 30, 2000

VIEWTRADE FINANCIAL

CRD#: 47116

BOCA RATON, FL

Past

July 7, 1997 - November 3, 1998

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

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

Connecticut
(1/15/2026)

Massachusetts
(1/15/2026)

New York
(1/15/2026)

Exams

State Security Law Exam

Series 63

Date: 11/8/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/11/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/3/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 11/15/2011

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/16/2002

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

DOWLING & PARTNERS SECURITIES LLC

DOWLING & PARTNERS SECURITIES LLC | PAULSEN, DOWLING SECURITIES, INC. | PAULSEN, DOWLING SECURITIES LLC | PAULSEN SECURITIES, INC. | DOWLING HALES, LLC

CRD#: 24746 / SEC#: , 8-35658

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Farmington Avenue, Farmington, CT 06032

Mailing Address

190 Farmington Avenue, Farmington, CT 06032

Phone number

(860) 676-8600

Established

Connecticut since 07/01/1994

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DOWLING CORPORATION	100% OWNER
BYRNE, THOMAS ARTHUR	PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE	1334509
DOWLING, VERONICA ALVAREZ	CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER	5166888
HANLEY, JOSEPH PATRICK JR	HEAD TRADER	3060247
HILBIE, KRISTA ANN	CHIEF COMPLIANCE OFFICER	1712680
LENT, BRENNA SULLIVAN	MEMBER	2399560
NIXON, JON ALAN	FINOP	4710715

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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Advisor Monitoring

Firm Stability Insights

Richard A. Sweeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard A Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Experience

C2M SECURITIES, LLC

GREENLEYS CAPITAL MARKETS LLP

TAPP ENGINE SECURITIES

LPL FINANCIAL LLC

BRG CAPSTONE CAPITAL ADVISORS

JM FINANCIAL SECURITIES, INC.

EAST SHORE PARTNERS, INC.

FOCUSPOINT PRIVATE CAPITAL GROUP

SWEDBANK SECURITIES US, LLC

A.B. WATLEY DIRECT, INC.

BROOKSTONE SECURITIES, INC.

GLOBAL ARENA CAPITAL CORP

MSI FINANCIAL SERVICES, INC.

AURIGA USA, LLC

PECONIC SECURITIES LLC

VIEWTRADE FINANCIAL

DAIWA CAPITAL MARKETS AMERICA INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/2008

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/11/2000

Series 7

Date: 7/3/1997

Series 14

Date: 1/2/2023

Series 4

Date: 11/15/2011

Series 24

Date: 6/16/2002

FINRA

Investors' Exchange LLC

Nasdaq Stock Market

Current Firm

DOWLING & PARTNERS SECURITIES LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DOWLING & PARTNERS SECURITIES LLC

TRUST BUT VERIFY

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