DS
Daniel F. Sweet
BLOOMBERG TRADEBOOK LLC
Chicago, IL 60606
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CRD#: 2945600
DS
Professional summary
Daniel F Sweet, who also goes by Daniel Francis Sweet Jr, is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in Chicago, Illinois and BLOOMBERG TRADEBOOK CANADA COMPANY located in Chicago, Illinois.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 4 firms and has passed the Series 63, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel Francis Sweet Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel F Sweet's 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®
NoneExperience
Current
October 29, 2020 - Present
BLOOMBERG TRADEBOOK LLC
Office #1: 111 S Wacker Dr, Fl 49, Chicago, IL 60606BD
CRD#: 40881
Chicago, IL
Current
February 12, 2025 - Present
BLOOMBERG TRADEBOOK CANADA COMPANY
Office #1: 111 S Wacker Dr Fl 49, Chicago, IL 60606BD
CRD#: 313267
Chicago, IL
Past
September 13, 2006 - August 11, 2010
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
NEW YORK, NY
Past
May 25, 1999 - October 10, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(6/24/2022)
RR
Alaska(6/24/2022)
RR
Arizona(7/11/2022)
RR
Arkansas(8/23/2022)
RR
California(6/24/2022)
RR
Colorado(6/27/2022)
RR
Connecticut(10/18/2021)
RR
Delaware(6/27/2022)
RR
District of Columbia(7/5/2022)
RR
Florida(6/27/2022)
RR
Georgia(6/25/2022)
RR
Hawaii(8/17/2022)
RR
Idaho(6/24/2022)
RR
Illinois(2/10/2022)
RR
Indiana(2/10/2022)
RR
Iowa(10/18/2021)
RR
Kansas(10/18/2021)
RR
Kentucky(7/1/2022)
RR
Louisiana(6/27/2022)
RR
Maine(6/24/2022)
RR
Maryland(6/28/2022)
RR
Massachusetts(6/27/2022)
RR
Michigan(11/10/2021)
RR
Minnesota(2/11/2022)
RR
Mississippi(2/15/2022)
RR
Missouri(6/27/2022)
RR
Montana(6/27/2022)
RR
Nebraska(6/24/2022)
RR
Nevada(7/5/2022)
RR
New Hampshire(6/27/2022)
RR
New Jersey(2/3/2022)
RR
New Mexico(6/27/2022)
RR
New York(2/14/2022)
RR
North Carolina(6/28/2022)
RR
North Dakota(6/27/2022)
RR
Ohio(6/24/2022)
RR
Oklahoma(6/27/2022)
RR
Oregon(6/27/2022)
RR
Pennsylvania(6/27/2022)
RR
Puerto Rico(7/6/2022)
RR
Rhode Island(6/29/2022)
RR
South Carolina(7/6/2022)
RR
South Dakota(7/28/2022)
RR
Tennessee(6/27/2022)
RR
Texas(6/25/2022)
RR
Utah(6/24/2022)
RR
Vermont(6/24/2022)
RR
Virginia(6/28/2022)
RR
Washington(6/24/2022)
RR
West Virginia(6/27/2022)
RR
Wisconsin(10/15/2021)
RR
Wyoming(7/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/28/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BT
BLOOMBERG TRADEBOOK CANADA COMPANY
BLOOMBERG TRADEBOOK CANADA COMPANY
CRD#: 313267 / SEC#: , 8-70683
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Mailing Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Phone number
(212) 617-4865
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| BRIDGEFORD, SOH HYONG | CHIEF COMPLIANCE OFFICER | 7114514 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
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.
