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Joseph Woods Sweeney

Seal Rock Wealth Management, LLC

Monterey, CA

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Current Employers
Seal Rock Wealth Management, Llc

Monterey, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-02-19
  • CA RA
    APPROVED
    Since 2016-02-19

Branch Locations

Monterey, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Seal Rock Wealth Management, Llc Monterey CA 01/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-23
S63 Uniform Securities Agent State Law Examination 2001-04-04
  • S66 Uniform Combined State Law Examination
    2002-08-23
  • S63 Uniform Securities Agent State Law Examination
    2001-04-04
Other Names
  • Joseph Woods Sweeny
  • Joseph Woods Sweeney
  • Joseph Woods Sweeney

View on SEC IAPD

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