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Edmund Joseph Sweeney

LOOP INVESTMENT ADVISORS
CHICAGO, IL
·CRD# 4566276·9 years experience

Professional Summary

Edmund Joseph Sweeney is a registered financial advisor currently at LOOP INVESTMENT ADVISORS LLC located in Chicago, Illinois and RCM SECURITIES located in Chicago, Illinois. Edmund is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Edmund has worked at 2 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7, Series 14 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

9 years in the financial services industry

Current & Past Employments

LOOP INVESTMENT ADVISORS LLC·CRD# 297928
RIA
318 W Adams, Floor 10, Chicago, IL 60606
July 10, 2020 - Present
RCM SECURITIES·CRD# 15548
BD
1. 318 W Adams St Floor 10, Chicago, IL 606062. 318 W Adams, Floor 10, Chicago, IL 60606
March 16, 2017 - Present
LOOP INVESTMENT ADVISORS LLC·CRD# 297928
RIA
Chicago, IL
August 29, 2018 - December 31, 2018

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Current Firm

LI
LOOP INVESTMENT ADVISORS LLC

LOOP INVESTMENT ADVISORS LLC | LOOP INVESTMENTS ADVISORS LLC

CRD#: 297928 / SEC#: 801-114027
RIA
Registered Investment Advisory firm - SEC (10/16/2020 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (7/10/2020 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

318 W Adams, Floor 10, Chicago, IL 60606

Phone Number

(312) 870-1572

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

1

AUM (Assets Under Management)

$787,674

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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.

partner of a family-related limited partnership, Sweeney Capital LP. beginning in Dec. 2002. Investment-related at 318 W Adams 10th floor, Chicago 60606. Monitor LP holdings 10/20/2011 INDEPENDENT INTRODUCING BROKER REGISTERED WITH THE NFA.EXECUTIVE DIRECTOR OF RCM Alternatives 03/01/2015 Attain Portfolio Advisors Wholly owned by RCM Alternatives Commodity Pool Operator 07/2018 Loop Investment Advisors LLC Registered Investment Advisor 07/2018 RCM China Consulting Services LLC Company that owns Jinzeg Which is a WOFE located in China. 12/2017 RCM Group Investments LLC This is a holding Company 06/2017 RCM Technology Group LLC 03/2021 RCM Tech Solutions LLC Ed is the registered agent. 08/2017 RCM Trading Services LLC This is the company that holds the lease for RCM 01/2019 RCM Brokers Group Ed is the registered agent. Mad Croc Brands, Inc is under common control with the applicant, located at 833 S Deerfield Ave Unit 6 Deerfield beach Florida. Edmund Sweeney, Director and Legal Advisor with less than 5% shareholder status. Edmund Joseph Sweeney is a lawyer. Edmund Joseph Sweeney is an RIA for Loop Investment Advisors an SEC-registered Advisory firm who gives advice to Mutual Funds Ed Sweeney Holdings LLC Entity owned by Sweeney Capital LP. This invests primarily in real estate and other investments where liability will be limited. Southside Gateway holdings LLC 50% owned by Ed Sweeney Holdings LLC primary investments are real Estate and some loans to private companies. Estrella Verde Financial LLC Sweeney Capital Is a member. The entity's business purpose is lending to the Mexican Financial entity. 07/2019 Estrella Blanca Financial LLC Sweeney Capital Is a member. There is no securities business and no compensation. 04/2019 Merrillville Metal Recycling Edmund Sweeney is a member and he is not involved in active management there is no securities business 05/2022 Radio FX INC Edmund Sweeny is an advisor to the board of directors. He devotes 1 hour per month and is an indirect shareholder and there is no securities business as this is the development of internet and airwaves radio stations. Pack6 he is the registered agent 09/01/2024 Vector Intelligence LLC 08/01/2024 Rover Operating LLC Oil and Gas 07/2024 Griffin Production Oil and Gas 07/2024 Griffin Energy Services Oil and Gas 06/2024 Consolidated Energy Development Oil and Gas 10/2024 Nadsoilco LLC - Oil and Gas

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(2/15/2018)
RR
Connecticut
(3/14/2023)
RR
Delaware
(1/24/2024)
RR
Florida
(12/5/2019)
RR
Georgia
(8/10/2021)
RR
Illinois
(4/12/2017)
IAR
Illinois
(7/10/2020)
RR
Indiana
(6/15/2018)
RR
Iowa
(1/24/2024)
RR
Maryland
(1/24/2024)
RR
Michigan
(1/24/2024)
RR
Minnesota
(3/5/2023)
RR
Mississippi
(1/24/2024)
RR
New Jersey
(1/28/2025)
RR
New Mexico
(5/19/2025)
RR
New York
(1/24/2024)
RR
North Dakota
(1/24/2024)
RR
Ohio
(2/23/2024)
RR
Oklahoma
(1/24/2024)
RR
Puerto Rico
(2/21/2023)
RR
Tennessee
(2/27/2024)
RR
Texas
(9/18/2020)
RR
Utah
(5/19/2021)
RR
Wisconsin
(1/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2018About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2017About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Mar 2019About the Series 3 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2017About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Apr 2017About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Edmund Joseph Sweeney's CRS (Customer Relationship Summary).

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