Mark Sweeney, financial advisor Minot ND
83 score

Mark Sweeney

CRD Number: 1036430
Current Firm: Capital Financial Services, Inc.

Mark Sweeney (CRD# 1036430) is an Investment Advisor Representative working at Capital Financial Services, Inc. in Minot, ND and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Capital Financial Services, Inc. Minot, ND Jan 1998 - Current 18
Mass Mutual Springfield, MA Jun 1981 - Current 35
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1984
S65 NASAA Investment Advisors Law Examination Nov 2001
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Mark G. Sweeney
Phone Number: 701-837-9600
Firm Website: https://www.capfin.com
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    142
    MILLIONS
  • Total Number of Accounts
    737
    ACCOUNTS
  • Average Account Value
    $192,622
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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