NS
Neal L. Sweeney
SPC
N. Chesterfield, VA 23235
Some features on this profile are disabled
CRD#: 4042459
NS
Professional summary
Neal Louis Sweeney, AIF® is a registered financial advisor currently at SPC located in N. Chesterfield, Virginia and PARKLAND SECURITIES, LLC located in N. Chesterfield, Virginia.
Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Neal has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. DBA - SWEENEY FINANCIAL LLC. INDEPENDENT AGENT WITH VARIOUS INSURANCE COMPANIES, LIFE, DISABILITY, 30 HRS/MO, ALL DURING SECURITIES TRADING HOURS, 721 TWINRIDGE LANE, N. CHESTERFIELD, VA 23235. 2. Volunteer assistant wrestling coach - Huguenot High School, Richmond, VA. Seasonal position that runs from November through February. Approx. 10-15 hrs/wk with 3 hrs during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Neal Louis Sweeney'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®
Experience
Current
August 5, 2016 - Present
SPC
Office #1: 721 Twinridge Lane, N. Chesterfield, VA 23235RIA
CRD#: 110692
N. Chesterfield, VA
Current
February 7, 2014 - Present
PARKLAND SECURITIES, LLC
Office #1: 721 Twinridge Lane, N. Chesterfield, VA 23235BD
CRD#: 115368
N. Chesterfield, VA
Past
February 4, 2014 - February 14, 2014
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
N. CHESTERFIELD, VA
Past
May 2, 2011 - February 5, 2014
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
N. CHESTERFIELD, VA
Past
October 29, 1999 - May 5, 2011
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
RICHMOND, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arkansas(9/29/2023)
RR
California(2/7/2014)
RR
District of Columbia(8/6/2025)
RR
Florida(4/30/2019)
RR
Georgia(5/5/2020)
RR
Kansas(3/20/2025)
RR
Kentucky(5/16/2022)
RR
Maryland(4/13/2023)
RR
Michigan(12/20/2023)
RR
Minnesota(11/14/2024)
RR
Missouri(12/5/2024)
RR
North Carolina(3/25/2014)
RR
Ohio(5/18/2018)
RR
South Carolina(2/7/2014)
RR
Tennessee(2/12/2021)
RR
Texas(7/25/2019)
RR
Virginia(2/7/2014)
IAR
Virginia(8/5/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPC
CRD#: 110692N. Chesterfield, VA 23235TRUST BUT VERIFY
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