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JS

Joseph D. Sweeney

NATIXIS SECURITIES AMERICAS LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5909262
JS

Professional summary

Joseph Daniel Sweeney, who also goes by Joseph Sweeney, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2013. Joseph has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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®
None

Experience

Current

February 7, 2024 - Present

NATIXIS SECURITIES AMERICAS LLC

Office #1: 1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
BD
CRD#: 1101
NEW YORK, NY
Past

May 19, 2022 - February 1, 2024

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

December 3, 2021 - April 20, 2022

CURVATURE SECURITIES LLC

BD
CRD#: 169708
CHATHAM, NJ
Past

June 3, 2013 - October 26, 2021

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.

CRD#: 1101 / SEC#: 801-72849, 8-719

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

NATIXIS SECURITIES AMERICAS' ADVISORY BROCHURE (6/24/2014)

Direct owners and executive officers

NamePositionCRD#
NATIXIS NORTH AMERICA LLCPARENT COMPANY/MANAGING MEMBER
BRIGGS, DANIEL CRAIGPRINCIPAL OPERATIONS OFFICER1250311
BUSSY, STEPHANE NMNDIRECTOR ON BOARD OF DIRECTORS7336982
CANEL, THIERRY JACQUESDIRECTOR ON BOARD OF DIRECTORS7818166
CHAUDHURI, SUPRIO NMNCHIEF COMPLIANCE OFFICER4659711
DELAY, OLIVIER JACQUESCHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS4720716
ISSANCHOU, EMMANUELHEAD OF GLOBAL MARKETS AMERICAS7338402
LAMBRIANIDIS, OTTO NICKPRINCIPAL FINANCIAL OFFICER2213741
MORAVEC, MICHAEL CHRISTOPHERHEAD OF INVESTMENT BANKING AMERICAS2968921
SHARPE, THOMAS GEORGECHIEF LEGAL OFFICER7047152

Disclosures

Regulatory Event17

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.

Company Information

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101New York, NY 10020

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