Joseph W. Sweeney
Professional summary
Joseph Woods Sweeney IV, who also goes by Joseph Woods Sweeney, Joseph Woods Sweeny IV, is a registered financial advisor currently at SEAL ROCK WEALTH MANAGEMENT, LLC located in Monterey, California.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Joseph has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Woods Sweeney IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2016 - Present
SEAL ROCK WEALTH MANAGEMENT, LLC
December 6, 2002 - December 23, 2015
CHARLES SCHWAB & CO., INC.
March 15, 2001 - December 23, 2015
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/19/2016)
Exams
Current Firm
SEAL ROCK WEALTH MANAGEMENT, LLC
CRD#: 282591 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 78 |
| AUM (Assets Under Management) | $ 87,601,841 |
Red Flags
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