MS
Matthew T. Sweeney
WILLIAM JOSEPH CAPITAL MANAGEMENT
Southington, CT
Some features on this profile are disabled
CRD#: 5705171
MS
Professional summary
Matthew Thomas Sweeney, who also goes by Matthew Sweeney, Matt Sweeney, is a registered financial advisor currently at WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. located in Southington, Connecticut.
Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Matthew has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Sweeney | Matt 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.
1) Wealth Preservation Specialist, LLC (dba Willam Joseph insurance)- part owner. vehicle for sharing insurance revenue between the two owners. not investment-related. Does not sell or service insurance products. Started Sep 2015. 10 hours per month. 2) Investipal, Inc. - advisor. startup in Toronto, Ontario. Investment-related. provides advisory services for a new venture and sits on the advisory board. Started Aug 2024. 5 hours per month 3) William Joseph Tax Strategies, Inc.; not investment-related. 210 Redstone Hill Road, Suite 5, Bristol, CT. 06010. Provides tax advice and tax preparation services. Part-owner; started July 1, 2025. Devote 4 hours per month during trading hours. Managing partner, but does not participate in the company's day-to-day activities.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Thomas 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®
NoneExperience
Current
June 23, 2015 - Present
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
Office #2: 210 Red Stone Hill Road Suite 5, Bristol, CT 06010RIA
CRD#: 226535
Southington, CT
Past
October 7, 2011 - April 20, 2015
VIRTUS INVESTMENT ADVISERS, LLC
RIA
CRD#: 106982
HARTFORD, CT
Past
March 24, 2011 - April 20, 2015
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
August 25, 2010 - March 8, 2011
MORGAN STANLEY
RIA
CRD#: 149777
HARTFORD, CT
Past
August 25, 2010 - March 8, 2011
MORGAN STANLEY
BD
CRD#: 149777
HARTFORD, CT
Past
November 16, 2009 - July 23, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WETHERSFIELD, CT
Past
September 11, 2009 - July 23, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WETHERSFIELD, CT
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".
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 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
Connecticut(6/23/2015)
IAR
Florida(12/6/2016)
IAR
Texas(1/27/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
210 Red Stone Hill Road Suite 5, Bristol, CT 06010
Mailing Address
200 West Hartford Street #u, Milford, PA 18337
Phone number
(860) 973-3214
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,153 |
| AUM (Assets Under Management) | $ 465,072,406 |
Red Flags
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.
