Patrick M. Sweeney

PATRICK M. SWEENEY & ASSOCIATES,

Libertyville, IL 60048

Some features on this profile are disabled

CRD#: 2701208

Professional summary

Patrick Michael Sweeney, CFP® is a registered financial advisor currently at PATRICK M. SWEENEY & ASSOCIATES, INC located in Libertyville, Illinois.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Patrick has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Patrick Michael 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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

January 27, 2009 - Present

PATRICK M. SWEENEY & ASSOCIATES, INC

Office #1: 900 Technology Way Suite 260, Libertyville, IL 60048

RIA

CRD#: 112802

Libertyville, IL

Past

July 31, 2001 - December 31, 2008

PATRICK M. SWEENEY & ASSOCIATES, INC

RIA

CRD#: 112802

BARRINGTON, IL

Past

October 10, 1996 - July 30, 2001

AHT FINANCIAL GROUP, LTD.

CRD#: 17998

BARRINGTON, IL

Past

July 15, 1996 - October 10, 1996

CAPITAL MANAGEMENT CONSULTANTS, INC.

CRD#: 19935

DEERFIELD, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PATRICK M. SWEENEY & ASSOCIATES, INC

CRD#: 112802 / SEC#: 801-118910

RIA

Registered Investment Advisory firm - (6/16/2020 Approved)

Illinois

Registered Investment Advisory firm - (6/16/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/10/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/27/2009)

IAR

Texas
(4/4/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/13/1996

General Securities Representative Examination

Current Firm

PATRICK M. SWEENEY & ASSOCIATES, INC

CRD#: 112802 / SEC#: 801-118910

RIA

Registered Investment Advisory firm - (6/16/2020 Approved)

Illinois

Registered Investment Advisory firm - (6/16/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/10/2012 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

900 Technology Way Suite 260, Libertyville, IL 60048

Mailing Address

Phone number

(847) 277-7771

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	293
AUM (Assets Under Management)	$ 217,183,226

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.

Similar Advisors

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

Jason Erickson

VAN AKE CAPITAL LLC

IAR

WINNETKA, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick M. Sweeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PATRICK M. SWEENEY & ASSOCIATES, INC

PATRICK M. SWEENEY & ASSOCIATES, INC

AHT FINANCIAL GROUP, LTD.

CAPITAL MANAGEMENT CONSULTANTS, INC.

Primary Firm SEC Registration

PATRICK M. SWEENEY & ASSOCIATES, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/1996

Series 7

Date: 7/13/1996

Current Firm

PATRICK M. SWEENEY & ASSOCIATES, INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATRICK M. SWEENEY & ASSOCIATES, INC

TRUST BUT VERIFY

Similar Advisors