James R. Sweeney
SWITCHPOINT FINANCIAL PLANNING LLC
Lehi, UT 84043
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CRD#: 5964234
Professional summary
James Rhead Sweeney, CFP®, who also goes by James Sweeney, is a registered financial advisor currently at SWITCHPOINT FINANCIAL PLANNING LLC located in Lehi, Utah.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 4 firms and has passed the Series 66 and Series 7 exams.
Biography
In addition to NAPFA, I am also a member of the Fee-Only Network, XY Planning Network, and Utah Financial Advisor Network. Like NAPFA, these organizations are striving to promote fee-only financial advice and the fiduciary standard - the highest standard of care in the financial industry.
I live in Lehi, Utah with my wife and four children. Between church, school, sports and just trying to keep up with the kids, there is never a dull moment at our house.
I love playing sports, hiking, reading, and cooking and eating good food!
Question & Answer
What are your service offerings?
Investment Planning
Tax Planning
Retirement Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
Baby Boomers
Charitable Giving
Fixed Fee (Subscription, Retai...
Investment Advice with Ongoing...
Medical Professionals
Retirement Plan Investment Adv...
Are you a "fiduciary"?
Yes
Aliases
James 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 Martin Worley Group. Investment-related. Address: 6965 Union Park Ctr, Suite 420, Cottonwood Heights, UT 84047. Nature of business: Registered Investment Advisor. Relationship: providing back-office support on a contract basis Start Date: 10/26/2016 Hours/Month - 45 Hours/Month during trading hours - 30 Duties - running portfolio reports, prepping for meetings
CRS (Client Relationship Summary) - RIA
Click below to view James Rhead 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®
CFP®
Start date: 2016
Experience
Current
March 31, 2016 - Present
SWITCHPOINT FINANCIAL PLANNING LLC
Office #1: 2901 W Bluegrass Blvd Suite 200 - 26, Lehi, UT 84043RIA
CRD#: 282856
Lehi, UT
Past
February 10, 2015 - February 24, 2016
THE MARTIN WORLEY GROUP
RIA
CRD#: 169006
COTTONWOOD HEIGHTS, UT
Past
October 28, 2011 - December 17, 2013
KNOX CAPITAL ADVISORS, LLC
RIA
CRD#: 131000
DRAPER, UT
Past
September 20, 2011 - June 7, 2013
KCG SECURITIES, LLC
BD
CRD#: 151300
DRAPER, UT
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".
SWITCHPOINT FINANCIAL PLANNING LLC
SWITCHPOINT FINANCIAL PLANNING LLC
CRD#: 282856 / SEC#: 801-125029
RIA
Registered Investment Advisory firm - (5/13/2022 Approved)Arizona
Registered Investment Advisory firm - (4/2/2018 Approved)Texas
Registered Investment Advisory firm - (5/17/2022 Terminated)Utah
Registered Investment Advisory firm - (5/17/2022 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
Arizona(4/2/2018)
IAR
Texas(9/11/2019)
IAR
Utah(3/31/2016)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
SWITCHPOINT FINANCIAL PLANNING LLC
SWITCHPOINT FINANCIAL PLANNING LLC
CRD#: 282856 / SEC#: 801-125029
RIA
Registered Investment Advisory firm - (5/13/2022 Approved)Arizona
Registered Investment Advisory firm - (4/2/2018 Approved)Texas
Registered Investment Advisory firm - (5/17/2022 Terminated)Utah
Registered Investment Advisory firm - (5/17/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2901 W Bluegrass Blvd Suite 200 - 26, Lehi, UT 84043
Mailing Address
Phone number
(801) 753-8538
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 281,485,944 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
