Joshua E. Sweeney
Professional summary
Joshua Edward Sweeney, who also goes by Joshua E Sweeney, Joshua Edward Sweeney, is a registered financial advisor currently at CONNECTICUT WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.
Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joshua has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Edward Sweeney's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2023 - Present
CONNECTICUT WEALTH MANAGEMENT, LLC
Office #1: 281 Farmington Avenue, Farmington, CT 06032-1911February 17, 2021 - June 2, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
July 28, 2020 - June 2, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 2012 - August 6, 2019
ALPS DISTRIBUTORS, INC.
August 24, 2011 - October 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CONNECTICUT WEALTH MANAGEMENT, LLC
CRD#: 154310 / SEC#: 801-73061
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/30/2023)
Exams
Current Firm
CONNECTICUT WEALTH MANAGEMENT, LLC
CRD#: 154310 / SEC#: 801-73061
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,737 |
| AUM (Assets Under Management) | $ 3,708,773,192 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/02/2024 | ||
| 09/26/2023 |
Red Flags
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