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Christopher Richard Sweeney

Bernstein Institutional Services LLC

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About Christopher Richard Sweeney

Christopher Sweeney is a registered representative with Bernstein Institutional Services LLC. Christopher has been in the industry since 2010. Christopher currently holds Series 3, 6, 7, 99TO, and SIE licenses. Christopher has experience at WELLS FARGO SECURITIES, LLC and VANGUARD MARKETING CORPORATION. Christopher specializes in securities and futures.

Firm Information

Christopher Sweeney is currently registered with Bernstein Institutional Services LLC. Bernstein Institutional Services LLC is a Limited Liability Company registered with the SEC and in all 50 states, plus Puerto Rico and the Virgin Islands. The firm was formed on October 15, 2021, and has 227 registered representatives and 85 investment advisory functions. Bernstein Institutional Services LLC provides educational seminars and publishes periodicals, and offers a range of advisory services.
Bernstein Institutional Services LLC

245 PARK AVE

NEW YORK, NY 10167

Not reported

Assets Under Management

Not reported

Total Clients

152

Total Financial Advisors

Services Offered

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.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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Christopher Sweeney’s Registration & Firm History

NY

04/12/2024 - Present

Bernstein Institutional Services LLC (NEW YORK NY)

NY

07/23/2013 - 04/16/2024

WELLS FARGO SECURITIES, LLC (New York NY)

PA

10/25/2010 - 08/10/2012

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

BC

Issued 11/01/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/21/2024

Series 3 - National Commodity Futures Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2011

Series 7 - General Securities Representative Examination

BC

Issued 10/22/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christopher Richard Sweeney.
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