Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sweeney is a financial advisor who has been in the industry since 1998. James Sweeney is currently registered with TD Securities (usa) LLC, located in New York. James Sweeney has been with TD Securities (usa) LLC since 2004. Previous employers include Imperial Capital, LLC, UBS Financial Services Inc., Deutsche Banc Alex. Brown Inc., and BT Alex. Brown Incorporated. James Sweeney holds licenses for Series 63, Series 66, Series 7 and SIE exams. James Sweeney is registered in all 50 states.
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.
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.
1
2
NY
03/31/2004 - Present
TD Securities (usa) LLC (NEW YORK NY)
CA
10/08/2003 - 03/19/2004
IMPERIAL CAPITAL, LLC (LOS ANGELES CA)
NJ
10/03/2002 - 10/15/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/07/1999 - 02/06/2002
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
MD
06/09/1997 - 06/07/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
BOTH
Issued 10/08/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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