Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sweeney is a financial professional with over 20 years of experience in the securities industry. Richard is currently registered with Tapp Engine Securities in Quincy, Massachusetts. Richard has held previous positions with C2M Securities, LLC, Greenleys Capital Markets LLP, LPL Financial LLC, JM Financial Securities, Inc., BRG Capstone Capital Advisors, Swedbank Securities US, LLC, East Shore Partners, Inc., Forbes Private Capital Group, A.B. Watley Direct, Inc., Brookstone Securities, Inc., Global Arena Capital Corp, MetLife Securities Inc, Auriga USA, Inc., Peconic Securities LLC, Emeyerson.com Inc., and Daiwa Securities America Inc. Richard holds a Series 7, Series 24, Series 4, Series 55, Series 63, Series 99TO, Series 57TO, Series 14, and SIE license.
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.
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2
MA
04/07/2022 - Present
Tapp Engine Securities (QUINCY MA)
VA
01/12/2023 - 02/29/2024
C2M SECURITIES, LLC (RICHMOND VA)
NY
12/01/2022 - 03/24/2023
GREENLEYS CAPITAL MARKETS LLP (NYC NY)
SC
02/25/2021 - 01/03/2022
LPL FINANCIAL LLC (FORT MILL SC)
NY
06/15/2015 - 06/25/2019
JM FINANCIAL SECURITIES, INC. (NEW YORK NY)
NY
02/10/2017 - 03/18/2019
BRG CAPSTONE CAPITAL ADVISORS (New York NY)
NY
04/17/2012 - 03/01/2017
SWEDBANK SECURITIES US, LLC (NEW YORK NY)
NY
12/19/2013 - 06/12/2014
EAST SHORE PARTNERS, INC. (HAUPPAUGE NY)
NY
01/16/2013 - 03/27/2014
FORBES PRIVATE CAPITAL GROUP (NEW YORK NY)
NY
01/24/2011 - 02/04/2013
A.B. WATLEY DIRECT, INC. (NY, NY NY)
NY
11/01/2010 - 01/10/2011
BROOKSTONE SECURITIES, INC. (UNIONDALE NY)
NY
03/29/2010 - 10/18/2010
GLOBAL ARENA CAPITAL CORP (DEER PARK NY)
NY
11/03/2008 - 11/04/2009
METLIFE SECURITIES INC. (HAUPPAUGE NY)
NY
11/20/2002 - 12/16/2008
AURIGA USA, INC. (GARDEN CITY NY)
NY
01/11/2002 - 01/22/2003
PECONIC SECURITIES LLC (NEW YORK NY)
FL
07/24/2000 - 11/30/2000
EMEYERSON.COM INC. (BOCA RATON FL)
NY
07/07/1997 - 11/03/1998
DAIWA SECURITIES AMERICA INC. (NEW YORK NY)
BC
Issued 11/08/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 11/15/2011
Series 4 - Registered Options Principal Examination
BC
Issued 06/16/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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