linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Gerard J Sweeney

Roth Capital Partners, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Gerard? Claim Your Profile

About Gerard J Sweeney

Gerard Sweeney is a financial professional with over 20 years of experience in the industry. Gerard is currently registered with Roth Capital Partners, LLC, and has a Series 7, 63, 86, 87, 16 and SIE licenses. Gerard has previously been employed by Boenning & Scattergood, Inc. and Janney Montgomery Scott LLC.

Firm Information

Gerard Sweeney is currently registered with Roth Capital Partners, LLC. Roth Capital Partners, LLC is a Limited Liability Company formed on January 10, 2001. The firm provides investment advisory services, including distribution of sell-side research reports/corporate access and acting as a solicitor. They have a presence in 52 states and the District of Columbia. Roth Capital Partners, LLC primarily serves investment companies and other investment advisors, with a reported 70 clients in these categories. The firm has disclosed 16 regulatory events and 12 arbitration events.

Not reported

Assets Under Management

Not reported

Total Clients

85

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.

check

(1) distribution of sell-side research reports/corporate access (2) solicitor

(1) distribution of sell-side research reports/corporate access (2) solicitor

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.

check

fixed fees

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Gerard Sweeney’s Registration & Firm History

CA

09/25/2014 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

PA

09/16/2010 - 09/19/2014

BOENNING & SCATTERGOOD, INC. (WEST CONSHOHOCKEN PA)

PA

09/07/2004 - 11/27/2009

BOENNING & SCATTERGOOD, INC. (WEST CONSHOHOCKEN PA)

PA

04/23/2001 - 09/20/2004

JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)

Not sure if Gerard J Sweeney is right for you?

Licenses & Designations

IA

Issued 09/06/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/20/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/06/2014

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 11/01/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/05/2010

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 04/19/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Gerard J Sweeney.
Not sure if Gerard J Sweeney is right for you?