James Sweeney, financial advisor Fort Myers FL
81 score

James Sweeney

CRD Number: 1338693
Current Firm: Century Securities Associates Inc.

James Sweeney (CRD# 1338693) is an Investment Advisor Representative working at Century Securities Associates Inc. in Fort Myers, FL and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Century Securities Associates, Inc. Ft. Myers, FL Mar 2006 - Current 10
Mortgage Services Fort Myers, FL Jun 2005 - Current 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1986
S65 NASAA Investment Advisors Law Examination Jan 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for James P. Sweeney
Phone Number: 314-342-4051
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    393
    MILLIONS
  • Total Number of Accounts
    1,513
    ACCOUNTS
  • Average Account Value
    $259,558
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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