Raymond K. 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.
Raymond Kenneth Sweeney was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1965. Raymond had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2010 - July 23, 2018
CANTELLA & CO., INC.
November 15, 2010 - July 23, 2018
CANTELLA & CO., INC.
October 11, 2002 - April 29, 2004
RODGERS & ASSOCIATES
October 10, 2002 - November 15, 2010
GIRARD SECURITIES, INC.
September 6, 2002 - November 15, 2010
GIRARD SECURITIES, INC.
June 11, 2002 - September 12, 2002
SENTRA SECURITIES CORPORATION
August 14, 1996 - June 19, 2002
LEGG MASON WOOD WALKER, INCORPORATED
June 2, 1982 - August 9, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1965 - May 26, 1982
ELKINS & CO.
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 15
Date: 2/8/1985
Foreign Currency Options ExaminationSeries 1
Date: 9/13/1965
Registered Representative ExaminationSeries 8
Date: 9/17/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
