Mary Beth Sweeney
Professional summary
Mary Beth Sweeney is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in New York, New York.
Mary Beth is registered as a RR (Registered Representative) and started their career in finance in 2004. Mary Beth has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mary Beth Sweeney's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 8, 2021 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 605 3rd Ave, New York, NY 10158January 3, 2017 - October 28, 2021
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 5, 2007 - October 28, 2021
ICAP SECURITIES USA LLC
January 19, 2006 - November 6, 2007
SANFORD C. BERNSTEIN & CO., LLC
May 4, 2004 - November 14, 2005
TMC BONDS L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/8/2021)
(11/8/2021)
Exams
FINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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