Timothy E. Sweet
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.
Timothy Edward Sweet was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1993. Timothy had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2014 - January 13, 2015
AARON CAPITAL INCORPORATED
June 3, 2008 - March 4, 2014
OEM CAPITAL CORP.
February 18, 2005 - August 23, 2007
GLOCAP FUNDING, LLC
October 6, 1999 - November 21, 2003
STEPHENS
April 13, 1999 - October 7, 1999
A. G. EDWARDS & SONS, INC.
June 19, 1997 - November 16, 1998
J.P. MORGAN SECURITIES LLC
February 12, 1993 - May 2, 1997
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/28/1974
Registered Representative ExaminationCurrent Firm
AARON CAPITAL INCORPORATED
CRD#: 28583 / SEC#: , 8-44000
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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