Brian A. Sweeney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Andrew Sweeney was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2005. Brian had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2019 - September 30, 2019
FNEX CAPITAL, LLC
October 10, 2018 - June 3, 2019
FDX CAPITAL LLC
May 18, 2018 - September 14, 2018
CANTELLA & CO., INC.
March 2, 2018 - April 30, 2018
FORESIDE FUND SERVICES, LLC
December 2, 2014 - June 2, 2015
SPIRE SECURITIES, LLC
May 3, 2012 - December 3, 2014
FIRST LIBERTIES FINANCIAL
October 18, 2011 - April 18, 2012
CV BROKERAGE, INC
April 5, 2010 - April 9, 2010
RAFFERTY CAPITAL MARKETS, LLC
August 22, 2007 - October 29, 2010
KILDARE CAPITAL, INC.
January 18, 2006 - August 20, 2007
US TIGER SECURITIES, INC.
November 7, 2005 - January 19, 2006
LEK SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/13/2005
Limited Representative-Equity Trader ExamCurrent Firm
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
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.
