James Rhead Sweeney
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Investment Management
- Tax Planning
- Retirement Planning
- Financial Planning
- Estate & Legacy Planning
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...
Other Aliases
James Sweeney
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures on record.
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Credentials
Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
SWITCHPOINT FINANCIAL PLANNING LLC
Contact Information
Main Address
2901 W Bluegrass Blvd Suite 200 - 26, Lehi, UT 84048Phone Number
(801) 753-8538# of Employees
3SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
525AUM (Assets Under Management)
$367,109,076Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SWITCHPOINT FINANCIAL PLANNING LLC
State Registrations and Notice Filings
(4/2/2018)
(9/11/2019)
(3/31/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view James Rhead Sweeney's CRS (Customer Relationship Summary).
Services Offered by James
- Investment Management
- Tax Planning
- Retirement Planning
- Financial Planning
- Estate & Legacy Planning
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