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KS

Katherine M. Sweeney

Some features on this profile are disabled
CRD#: 3175686
KS

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.

Katherine Mary Sweeney, who also goes by Kate Sweeney, Katherine Mary Sweeney, Katherine M Sweeney, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 1999. Katherine had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kate Sweeney | Katherine Mary Sweeney | Katherine M 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 15, 2019 - May 31, 2019

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ
Past

July 9, 2015 - February 4, 2019

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
SOMERSET, NJ
Past

March 20, 2008 - March 19, 2009

SCHRODER FUND ADVISORS LLC

BD
CRD#: 24129
NEW YORK, NY
Past

November 27, 2007 - January 4, 2008

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
NEW YORK, NY
Past

October 24, 2006 - November 29, 2007

UST SECURITIES CORP.

BD
CRD#: 13906
NEW YORK, NY
Past

December 6, 2000 - December 16, 2005

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
PARSIPPANY, NJ
Past

May 4, 1999 - October 9, 2000

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/20/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/9/2015
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FF
FORESTERS FINANCIAL SERVICES, INC.
FIRST INVESTORS CORPORATION | FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305 / SEC#: , 8-13891

BD
Terminated by SEC on 10/24/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/07/1968
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FORESTERS INVESTMENT MANAGEMENT COMPANY, INC.SHAREHOLDER
GANNON, FRANCIS XAVIERPRESIDENT AND CHIEF FINANCIAL OFFICER6181654
REILLY, ELIZABETH ANNSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER1428527

Disclosures

Regulatory Event34
Civil Event3
Arbitration18

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.

Company Information

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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