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JS

Jonathan G. Sweeney

Some features on this profile are disabled
CRD#: 4914852
JS

Professional summary

Jonathan George Sweeney was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jonathan is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Jonathan had worked at 6 firms, which includes NAVY FEDERAL INVESTMENT SERVICES LLC, NAVY FEDERAL ASSET MANAGEMENT LLC, USAA FINANCIAL PLANNING SERVICES, USAA FINANCIAL ADVISORS INC., USAA INVESTMENT SERVICES COMPANY, VANGUARD MARKETING CORPORATION.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 10, 2011 - May 26, 2016

NAVY FEDERAL INVESTMENT SERVICES, LLC

BD
CRD#: 138459
SAN DIEGO, CA
Past

May 19, 2011 - May 26, 2016

NAVY FEDERAL ASSET MANAGEMENT, LLC

RIA
CRD#: 144244
TEMECULA, CA
Past

December 11, 2008 - November 5, 2009

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

August 31, 2007 - November 5, 2009

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

May 23, 2006 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
PHOENIX, AZ
Past

May 25, 2005 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
PHOENIX, AZ
Past

March 17, 2005 - May 10, 2005

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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
IAR
Series 65
Date: 5/8/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/26/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/16/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176

SEC notice filing (53 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
NAVY FEDERAL FINANCIAL GROUPOWNER
ROSSON, TIMOTHY DAVIDFINOP / PRINCIPAL FINANACIAL OFFICER7152744
WEISBERG, STEVEN LESLIECHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS6268061
YOUNG, DIANECHIEF OPERATING OFFICER3098010

Regulatory assets under management

Total Number of Accounts7,472
AUM (Assets Under Management)$ 1,713,608,579

Red Flags

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.

Company Information

NAVY FEDERAL INVESTMENT SERVICES, LLC

CRD#: 138459

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