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CS

Connor Sweet

GRAYSCALE SECURITIES
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 6848847
CS

Professional summary

Connor Sweet, who also goes by Connor Sweet, is a registered financial professional currently at GRAYSCALE SECURITIES, LLC located in Stamford, Connecticut.

Connor is registered as a RR (Registered Representative) and started their career in finance in 2017. Connor has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Connor Sweet

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 Connor Sweet's CRS (Customer Relationship Summary).
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

August 29, 2024 - Present

GRAYSCALE SECURITIES, LLC

Office #1: 290 Harbor Drive 4th Floor, Stamford, CT 06902
BD
CRD#: 305907
Stamford, CT
Past

July 16, 2024 - August 29, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

March 1, 2024 - June 14, 2024

SECURITIZE MARKETS, LLC

BD
CRD#: 283256
MIAMI, FL
Past

May 13, 2021 - October 11, 2022

DISTRIBUTION SERVICES, LLC

BD
CRD#: 25938
PORTLAND, ME
Past

December 21, 2017 - August 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
OAKLAND, CA
Past

October 26, 2017 - August 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
OAKLAND, CA

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
(8/29/2024)
RR
Alaska
(8/29/2024)
RR
Arizona
(8/29/2024)
RR
Arkansas
(8/29/2024)
RR
California
(8/29/2024)
RR
Colorado
(8/29/2024)
RR
Connecticut
(8/29/2024)
RR
Delaware
(8/29/2024)
RR
District of Columbia
(8/29/2024)
RR
Florida
(8/29/2024)
RR
Georgia
(8/29/2024)
RR
Hawaii
(8/29/2024)
RR
Idaho
(8/29/2024)
RR
Illinois
(8/29/2024)
RR
Indiana
(8/29/2024)
RR
Iowa
(8/29/2024)
RR
Kansas
(8/29/2024)
RR
Kentucky
(8/29/2024)
RR
Louisiana
(8/29/2024)
RR
Maine
(8/29/2024)
RR
Maryland
(8/29/2024)
RR
Massachusetts
(8/29/2024)
RR
Michigan
(8/29/2024)
RR
Minnesota
(8/29/2024)
RR
Mississippi
(8/29/2024)
RR
Missouri
(8/29/2024)
RR
Montana
(8/29/2024)
RR
Nebraska
(8/29/2024)
RR
Nevada
(8/29/2024)
RR
New Hampshire
(8/29/2024)
RR
New Jersey
(8/29/2024)
RR
New Mexico
(8/29/2024)
RR
New York
(8/29/2024)
RR
North Carolina
(9/3/2024)
RR
North Dakota
(8/29/2024)
RR
Ohio
(8/29/2024)
RR
Oklahoma
(8/29/2024)
RR
Oregon
(8/29/2024)
RR
Pennsylvania
(8/29/2024)
RR
Rhode Island
(8/29/2024)
RR
South Carolina
(8/29/2024)
RR
South Dakota
(8/29/2024)
RR
Tennessee
(8/29/2024)
RR
Texas
(8/29/2024)
RR
Utah
(8/29/2024)
RR
Vermont
(8/29/2024)
RR
Virginia
(8/29/2024)
RR
Washington
(8/29/2024)
RR
West Virginia
(8/29/2024)
RR
Wisconsin
(8/29/2024)
RR
Wyoming
(8/29/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/20/2017
Uniform Combined 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: 10/26/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GRAYSCALE SECURITIES, LLC
GRAYSCALE SECURITIES, LLC

CRD#: 305907 / SEC#: , 8-70437

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

Main Address
290 Harbor Drive 4th Floor, Stamford, CT 06902
Mailing Address
290 Harbor Drive 4th Floor, Stamford, CT 06902
Phone number
(203) 998-6150
Established
Delaware since 06/14/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRAYSCALE OPERATING, LLCSOLE MEMBER OF GRAYSCALE SECURITIES, LLC
MASCI, KATHRYN CODYFINOP / PFO6755238
PALASZ, FELICA CORNELIAPOO7830001
PALMER, JORDAN WYNNCHIEF EXECUTIVE OFFICER7279088
ROBERTS, ALLISON BRADYCHIEF COMPLIANCE OFFICER5198017
SALM, CRAIG IANCHIEF LEGAL OFFICER6936921

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

GRAYSCALE SECURITIES, LLC

CRD#: 305907Stamford, CT 06902

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