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WS

William C. Sweeney

GLOBAL ATLANTIC DISTRIBUTORS
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 4706842
WS

Professional summary

William Charles Sweeney is a registered financial professional currently at GLOBAL ATLANTIC DISTRIBUTORS, LLC located in Hartford, Connecticut.

William is registered as a RR (Registered Representative) and started their career in finance in 2003. William has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Charles Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 19, 2017 - Present

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Office #1: One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
BD
CRD#: 8326
Hartford, CT
Past

September 30, 2005 - August 17, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
SIMSBURY, CT
Past

December 6, 2004 - June 21, 2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

November 17, 2003 - December 6, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/26/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/26/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/19/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GA
GLOBAL ATLANTIC DISTRIBUTORS, LLC
FORETHOUGHT DISTRIBUTORS, LLC | PLANCO FINANCIAL SERVICES, LLC | PLANCO FINANCIAL SERVICES, INC. | HARTFORD LIFE DISTRIBUTORS, LLC | GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326 / SEC#: , 8-25027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Mailing Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Phone number
(877) 454-4777
Established
Delaware since 12/15/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL ATLANTIC (FIN) COMPANYOWNER
BICKLER, JASON ALEXANDERPRESIDENT AND MANAGER4164884
MOORCROFT, WILLIAM BENJAMINCHIEF COMPLIANCE OFFICER4258952
NELSON, PAULA GENEVIEVEMANAGER, HEAD OF DISTRIBUTION2015528
PAULOUSKY, MICHAEL RYANTREASURER7339297
RAMOS, SAMUELGENERAL COUNSEL AND SECRETARY6722343
RIP, OLGAFINOP AND CHIEF FINANCIAL OFFICER5440553
RUTHERFORD, KELLY JUNESENIOR VICE-PRESIDENT7282305
SIEGEL, DEAN CYRUSVICE PRESIDENT3224832
TODD, ERIC DAVIDMANAGER2175308
WEISS, DAVID LEESENIOR VICE PRESIDENT2345057

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326Hartford, CT 06103

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