Joseph D. Sweeney
SWEENEY & MICHEL
Chico, CA 95926
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CRD#: 4968553
Professional summary
Joseph Daniel Sweeney, CFP®, who also goes by Joe Sweeney, is a registered financial advisor currently at SWEENEY & MICHEL, LLC located in Chico, California.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Joseph has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Joe Sweeney decided to open an RIA and move away from the broker-dealer and commissions-based model in 2016 with his Partner, Renee Michel. Together they started Sweeney & Michel LLC to cut out the middle man and better serve their clients.
Question & Answer
What are your service offerings?
Education Planning
Small Business Planning
Comprehensive Financial Planni...
Budgeting
Retirement Income Management
Investment Planning
Employee and Employer Plan Ben...
Estate Planning
Retirement Planning
Do you have an area of expertise or specialization?
Business Owners
Cash Flow/Budgets/Credit Issue...
Charitable Giving
College/Education Planning
Corporate Executives
Divorce Planning
Are you a "fiduciary"?
Yes
Aliases
Joe Sweeney
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.
ENLOE HOSPITAL FOUNDATION not investment-related 1531 Esplanade, Chico, CA 95926 Hospital and Healthcare Vice Chair - Enloe Golf Tournament 1/1/2019 2 hours per month 1 hour per month during trading Administer agenda, discuss fundraising, plan golf tournament food, activities, times. FIGHT FORWARD KICKBOXING, LLC not investment-related 754 Mangrove Avenue, Chico, CA 95926 Gym/Fitness Center Partner 2/28/2023 2 hours per month 0 hours during trading Silent partner, capital contribution, business strategy
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Daniel Sweeney's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2013
Experience
Current
March 31, 2016 - Present
SWEENEY & MICHEL, LLC
Office #1: 196 Cohasset Road Suite 100, Chico, CA 95926RIA
CRD#: 282595
Chico, CA
Past
October 20, 2010 - December 31, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CHICO, CA
Past
June 21, 2010 - December 31, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CHICO, CA
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".
S&
SWEENEY & MICHEL, LLC
ASSET MANAGEMENT GROUP SWEENEY & MICHEL | THE SWEENEY & MICHEL TEAM | SWEENEY & MICHEL, LLC | SWEENEY & MICHEL AMG
CRD#: 282595 / SEC#: 801-113350
RIA
Registered Investment Advisory firm - (6/1/2018 Approved)California
Registered Investment Advisory firm - (3/3/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(3/31/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
S&
SWEENEY & MICHEL, LLC
ASSET MANAGEMENT GROUP SWEENEY & MICHEL | THE SWEENEY & MICHEL TEAM | SWEENEY & MICHEL, LLC | SWEENEY & MICHEL AMG
CRD#: 282595 / SEC#: 801-113350
RIA
Registered Investment Advisory firm - (6/1/2018 Approved)California
Registered Investment Advisory firm - (3/3/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
196 Cohasset Road Suite 100, Chico, CA 95926
Mailing Address
Phone number
(530) 487-1777
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,418 |
| AUM (Assets Under Management) | $ 625,915,288 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
