Joseph Daniel Sweeney
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Education Funding
- Business Services
- Financial Planning
- Cashflow & Budgeting
- Retirement Planning
- Investment Management
- Estate & Legacy Planning
Specializations
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.
Other Aliases
Joe Sweeney
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
16 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
ASSET MANAGEMENT GROUP SWEENEY & MICHEL | THE SWEENEY & MICHEL TEAM | SWEENEY & MICHEL, LLC | SWEENEY & MICHEL AMG
Contact Information
Main Address
196 Cohasset Road Suite 100, Chico, CA 95926Phone Number
(530) 487-1777# of Employees
4SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,571AUM (Assets Under Management)
$752,618,512Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ASSET MANAGEMENT GROUP SWEENEY & MICHEL | THE SWEENEY & MICHEL TEAM | SWEENEY & MICHEL, LLC | SWEENEY & MICHEL AMG
State Registrations and Notice Filings
(3/31/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Daniel Sweeney's CRS (Customer Relationship Summary).
Services Offered by Joseph
- Education Funding
- Business Services
- Financial Planning
- Cashflow & Budgeting
- Retirement Planning
- Investment Management
- Estate & Legacy Planning
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