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MS

Michael P. Sweeney

MCMORGAN & COMPANY CAPITAL ADVISORS LLC
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 6397677
MS

Professional summary

Michael Patrick Sweeney is a registered financial professional currently at MCMORGAN & COMPANY CAPITAL ADVISORS LLC located in Oakbrook Terrace, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2014. Michael has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Michael Patrick 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

October 1, 2014 - Present

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

Office #1: 17w635 Butterfield Rd. Suite 305, Oakbrook Terrace, IL 60181
BD
CRD#: 137222
Oakbrook Terrace, IL

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
Alabama
(8/2/2024)
RR
Arizona
(8/2/2024)
RR
California
(8/2/2024)
RR
Florida
(4/5/2024)
RR
Illinois
(8/2/2024)
RR
Massachusetts
(8/2/2024)
RR
New York
(8/2/2024)
RR
Ohio
(8/5/2024)
RR
Oregon
(8/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

M&
MCMORGAN & COMPANY CAPITAL ADVISORS LLC
MCMORGAN & COMPANY CAPITAL ADVISORS LLC | RADIANT SECURITIES LLC

CRD#: 137222 / SEC#: , 8-67074

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
33 New Montgomery Street Suite 2000, San Francisco, CA 94105
Mailing Address
33 New Montgomery Street Suite 2000, San Francisco, CA 94105
Phone number
(415) 788-9300
Established
New York since 04/11/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MCMORGAN & COMPANY LLCMEMBER
DANIELS, RICHARD MATTHEWFINOP, CFO,PFO & POO5877964
JOSEF, ANDREW SCHIEF COMPLIANCE OFFICER4789945
SANTAGUIDA, JOHN F. SCOTTPRESIDENT5004531

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

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

CRD#: 137222Oakbrook Terrace, IL 60181

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