Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Alexander Sweeney is a financial advisor with over 30 years of experience in the industry. David is currently registered with Wedbush Securities Inc. and has been with them since September 2020. Previously, David worked with Stifel, Nicolaus & Company, Incorporated, Janney Montgomery Scott LLC, Prudential Securities Incorporated, Paine Webber Incorporated, and W.J. Nolan & Company, Inc. David holds Series 7, 9, 10, 63, and 65 securities licenses, and has been actively registered with the state of New York since August 2021. David is a registered Investment Advisor Representative with Wedbush Securities Inc. in the state of California, Florida, New York and Utah. He offers a wide range of financial services to individual, business, and institutional clients. David is dedicated to providing personalized financial advice that helps clients meet their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
10/01/2020 - Present
Wedbush Securities Inc. (NEW YORK NY)
NY
05/13/2011 - 09/28/2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
NY
04/15/2003 - 06/09/2011
JANNEY MONTGOMERY SCOTT LLC (GARDEN CITY NY)
NY
12/12/1997 - 04/10/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
11/14/1994 - 12/18/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
03/09/1990 - 11/28/1994
W.J. NOLAN & COMPANY, INC. (NEW YORK NY)
IA
Issued 08/14/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/09/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
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Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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