James Sweeney
James Sweeney is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Newtown Square, PA, with 26 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
3813 West Chester Pike, Cottage 9, Newtown Square, PA, 19073
Get directionsHistory
Regulatory History (2)
Customer Dispute
February 2008Customer Dispute
May 2004Other Business ActivitiesSells Insurance
James sells fixed life insurance, dedicating minimal time to this activity. He also owns Sweeney Financial Group, LLC, where he hired his daughter as an assistant, and is a branch manager DBA for Tower Financial.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Edward JonesBroker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.