Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Sweetman is a financial advisor with Charles Schwab & CO., Inc. in Chicago, IL. Brian Sweetman has been in the financial industry since 2003. Brian Sweetman is registered with the following securities regulators: Securities and Exchange Commission (SEC) and FINRA, as well as 53 state securities regulators. In addition to being a registered representative, Brian Sweetman is also a Registered Investment Advisor (RIA) registered in Illinois and Texas. Previously, Brian Sweetman was a registered representative with OptionsXpress, Inc. in Chicago, IL, TJM Investments, LLC in Chicago, IL, Patrick Capital Markets, LLC in Chicago, IL, SNC Capital Management Corp. in Chicago, IL, BrokersXpress LLC in Chicago, IL, MF Global Inc. in Chicago, IL, and Geneva Stock, L.L.C. in Gurnee, IL.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
IL
01/11/2022 - Present
Charles Schwab & CO., Inc. (Chicago IL)
IL
01/29/2015 - 11/10/2017
OPTIONSXPRESS, INC. (CHICAGO IL)
IL
10/22/2013 - 02/19/2015
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
01/07/2013 - 11/05/2013
PATRICK CAPITAL MARKETS, LLC (CHICAGO IL)
IL
07/17/2012 - 12/31/2012
SNC CAPITAL MANAGEMENT CORP. (CHICAGO IL)
IL
11/30/2009 - 07/17/2012
BROKERSXPRESS LLC (CHICAGO IL)
IL
04/27/2004 - 11/30/2009
MF GLOBAL INC. (CHICAGO IL)
IL
09/22/2003 - 09/09/2004
GENEVA STOCK, L.L.C. (GURNEE IL)
BOTH
Issued 01/16/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/06/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/15/2009
Series 24 - General Securities Principal Examination
BC
Issued 08/22/2003
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2012
Series 3 - National Commodity Futures Examination
BC
Issued 08/03/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/23/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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