David A. Sweet
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.
David Anthony Sweet was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2007 - March 26, 2015
AUERBACH GRAYSON & COMPANY LLC
May 23, 2006 - January 10, 2007
LOMBARDI & CO., INC.
September 15, 2003 - February 2, 2006
NATIXIS SECURITIES AMERICAS LLC
October 21, 2002 - August 1, 2003
DIRECT ACCESS PARTNERS LLC
August 2, 2000 - November 14, 2002
BREAN MURRAY & CO., INC.
May 22, 2000 - July 7, 2000
CANTOR FITZGERALD & CO.
May 18, 2000 - July 7, 2000
MINT BROKERS
December 14, 1999 - July 7, 2000
CANTOR FITZGERALD SECURITIES
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
Series 55
Date: 7/6/2004
Limited Representative-Equity Trader ExamSeries 25
Date: 8/14/2002
NYSE Trading Assistant ExaminationCurrent Firm
AUERBACH GRAYSON & COMPANY LLC
CRD#: 30761 / SEC#: , 8-45136
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
