Stephen C. Sweet
Professional summary
Stephen Christopher Sweet, who also goes by Chris Sweet, Christopher Sweet, is a registered financial professional currently at TRIPLE P SECURITIES, LLC located in Houston, Texas.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Christopher Sweet's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2023 - Present
TRIPLE P SECURITIES, LLC
Office #1: 1980 Post Oak Boulevard Suite 100, Houston, TX 77056April 1, 2022 - October 27, 2023
HOULIHAN LOKEY ADVISORS, LLC
February 24, 2017 - October 27, 2023
HOULIHAN LOKEY CAPITAL, INC.
September 23, 2013 - January 17, 2017
HOULIHAN LOKEY CAPITAL, INC.
May 14, 2009 - September 13, 2013
DC ADVISORY
October 4, 2007 - April 7, 2009
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/10/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
TRIPLE P SECURITIES, LLC
CRD#: 323197 / SEC#: , 8-71006
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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