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 June 1999. James is currently registered with Raymond James Financial Services Advisors, Inc. and has been with the firm since April 2009. James is also registered as an investment advisor representative in the states of Pennsylvania and Texas. James's prior registrations include Wachovia Securities, LLC and Edward Jones. James has a range of experience and expertise, working with a variety of clients, including individuals, corporations, insurance companies, and charitable organizations.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
PA
10/25/2019 - Present
Raymond James Financial Services Advisors, Inc. (NEWTOWN SQUARE PA)
PA
05/14/2004 - 03/31/2009
WACHOVIA SECURITIES, LLC (MEDIA PA)
MO
06/23/1999 - 05/10/2004
EDWARD JONES (ST. LOUIS MO)
IA
Issued 06/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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