Joseph N. Sweis
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.
Joseph Nishan Sweis, CFP®, CPWA® was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2008. Joseph had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2014
Start date: 2019-07-08
Expire date: 2023-06-30
Experience
July 2, 2021 - January 5, 2023
ENSO WEALTH MANAGEMENT, LLC
October 2, 2017 - September 30, 2021
PEARL WEALTH ADVISORS, LLC
August 3, 2015 - November 7, 2017
CETERA WEALTH SERVICES, LLC
July 31, 2015 - November 7, 2017
CETERA WEALTH SERVICES, LLC
December 1, 2010 - August 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2010 - August 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2009 - December 9, 2010
WADDELL & REED
November 10, 2009 - December 9, 2010
WADDELL & REED
August 12, 2008 - October 28, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 26, 2008 - October 28, 2009
AMERIPRISE FINANCIAL 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
Exams
Current Firm
ENSO WEALTH MANAGEMENT, LLC
CRD#: 287882 / SEC#: 801-110382
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,726 |
| AUM (Assets Under Management) | $ 1,802,990,715 |
Red Flags
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