Steven T. Sweeney
Professional summary
Steven Taylor Sweeney, CFP®, who also goes by Steven Taylor Sweeney, Steven Sweeney, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2006. Steven has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Taylor Sweeney's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2022 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416October 16, 2020 - October 10, 2022
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 6, 2015 - August 25, 2020
TRANSAMERICA CAPITAL, LLC
August 5, 2014 - July 29, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 16, 2007 - July 16, 2014
MML INVESTORS SERVICES, LLC
March 15, 2006 - July 16, 2014
MML INVESTORS 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
(11/1/2022)
Exams
Series 7TO
Date: 7/30/2020
General Securities Representative ExaminationFINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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