CS
Charles L. Sweeney
AMERICAN CENTURY INVESTMENT SERVICES
Austin, TX
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CRD#: 7118159
CS
Professional summary
Charles L Sweeney, who also goes by Charlie L Sweeney, is a registered financial professional currently at AMERICAN CENTURY INVESTMENT SERVICES INC. located in Austin, Texas.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2019. Charles has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 6TO exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charlie L 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 advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Charles L 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®
NoneExperience
Current
August 16, 2019 - Present
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
Austin, TX
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(8/16/2019)
RR
Alaska(8/16/2019)
RR
Arizona(8/16/2019)
RR
Arkansas(8/16/2019)
RR
California(8/16/2019)
RR
Colorado(8/16/2019)
RR
Connecticut(8/16/2019)
RR
Delaware(8/16/2019)
RR
District of Columbia(8/16/2019)
RR
Florida(8/16/2019)
RR
Georgia(8/16/2019)
RR
Hawaii(8/16/2019)
RR
Idaho(8/16/2019)
RR
Illinois(8/16/2019)
RR
Indiana(8/16/2019)
RR
Iowa(8/16/2019)
RR
Kansas(8/16/2019)
RR
Kentucky(8/16/2019)
RR
Louisiana(8/16/2019)
RR
Maine(8/16/2019)
RR
Maryland(8/16/2019)
RR
Massachusetts(8/16/2019)
RR
Michigan(8/16/2019)
RR
Minnesota(8/16/2019)
RR
Mississippi(8/16/2019)
RR
Missouri(8/16/2019)
RR
Montana(8/16/2019)
RR
Nebraska(8/16/2019)
RR
Nevada(8/16/2019)
RR
New Hampshire(8/16/2019)
RR
New Jersey(8/16/2019)
RR
New Mexico(8/16/2019)
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New York(8/16/2019)
RR
North Carolina(8/16/2019)
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North Dakota(8/16/2019)
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Ohio(8/18/2019)
RR
Oklahoma(8/16/2019)
RR
Oregon(8/16/2019)
RR
Pennsylvania(8/16/2019)
RR
Rhode Island(8/16/2019)
RR
South Carolina(8/16/2019)
RR
South Dakota(8/16/2019)
RR
Tennessee(8/16/2019)
RR
Texas(8/16/2019)
RR
Utah(8/16/2019)
RR
Vermont(8/16/2019)
RR
Virginia(8/16/2019)
RR
Washington(8/16/2019)
RR
West Virginia(8/16/2019)
RR
Wisconsin(8/16/2019)
RR
Wyoming(8/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/12/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 6/10/2019
Investment Company Products/Variable Contracts Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
AC
AMERICAN CENTURY INVESTMENT SERVICES INC.
AMERICAN CENTURY BROKERAGE | TWENTIETH CENTURY SECURITIES, INC. | PLAZA SECURITIES CORPORATION | AMERICAN CENTURY INVESTMENT SERVICES, INC. | AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4500 Main Street, Kansas City, MO 64111
Mailing Address
P.o. Box 410141, Kansas City, MO 64141-0141
Phone number
(800) 345-2021
Established
Missouri since 04/18/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
