Douglas T. 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.
Douglas Thomas Sweeney, who also goes by Doug Sweeney, Douglas Sweeney, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2014 - February 3, 2015
PARETO SECURITIES INC.
June 20, 2011 - June 27, 2013
CRT CAPITAL GROUP LLC
June 22, 2001 - June 6, 2011
INTL FCSTONE CREDIT TRADING LLC
July 2, 1998 - July 10, 2001
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
October 25, 1996 - February 26, 1997
JPMSI
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
PARETO SECURITIES INC.
CRD#: 44734 / SEC#: , 8-50796
Contact information
FINRA licenses (24 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARETO SECURITIES AS | STOCKHOLDER | |
| ALFHEIM, NIKLAS REINHOLD | HEAD OF FIXED INCOME SALES | 7593087 |
| HAAVALDSEN, EIRIK NMN | DIRECTOR | 7644368 |
| JOMAAS, CHRISTIAN NMN | DIRECTOR | 7182355 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| SPAVENTA, ANTONELLA NMN | CEO, POO & CHIEF COMPLIANCE OFFICER | 4441100 |
| ULLNER, KARL HENRIK | REGISTERED PRINCIPAL | 2860967 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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