Michael S. Sweazey
Professional summary
Michael Stephen Sweazey, who also goes by Michael Stephen Sweazy, Michael Sweazy, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St Paul, Minnesota.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Stephen Sweazey's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2018 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St Paul, MN 55101May 25, 2016 - February 1, 2018
QUESTAR CAPITAL CORPORATION
January 31, 2014 - April 4, 2016
CAPITAL BROKERAGE CORPORATION
January 4, 2007 - March 22, 2012
CAPITAL BROKERAGE CORPORATION
November 24, 2005 - December 13, 2006
WELLS FARGO CLEARING SERVICES, 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
(5/11/2018)
(5/11/2018)
Exams
FINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St Paul, MN 55101TRUST BUT VERIFY
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