Kathryn E. Sweeney
Professional summary
Kathryn Elizabeth Sweeney, who also goes by Kathryn Elizabeth Sweeney, is a registered financial professional currently at MARKETAXESS CORPORATION located in New York, New York.
Kathryn is registered as a RR (Registered Representative) and started their career in finance in 1999. Kathryn has worked at 4 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Elizabeth Sweeney's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2021 - Present
MARKETAXESS CORPORATION
Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001October 3, 2017 - October 18, 2021
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 17, 2001 - September 28, 2017
GOLDMAN SACHS & CO. LLC
September 15, 1999 - February 23, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/25/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/30/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
