Matthew B. Sweeney
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.
Matthew Brian Sweeney, who also goes by Brian Sweeney, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2021 - November 13, 2023
CETERA INVESTMENT ADVISERS LLC
June 14, 2021 - November 13, 2023
CETERA INVESTMENT SERVICES LLC
February 27, 2018 - June 24, 2020
TD AMERITRADE, INC.
February 26, 2018 - June 24, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - June 24, 2020
TD AMERITRADE, INC.
November 14, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 29, 2014 - February 26, 2018
SCOTTRADE, INC.
October 1, 2012 - April 25, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 25, 2014
J.P. MORGAN SECURITIES LLC
March 2, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 8, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
June 28, 2000 - December 31, 2004
NATIONAL SECURITIES CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
