Brian Patrick Sweeney

Current Employers

Employment History

• 04/2014 → Present
  Law Office Of Brian P. Sweeney
  Indianapolis, IN
• 01/2016 → 09/2016
  David A. Noyes & Company
  Indianapolis, IN
• 01/2017 → 01/2022
  Thurston Springer Miller Herd & Titak, Inc.
  Indianapolis, IN
• 08/2020 → 01/2022
  Thurston Springer Advisors
  Indianapolis, IN
• 01/2022 → Present
  Rnd Compliance
  Woodland Hills, CA
• 02/2022 → 05/2025
  Ebisu Securities Inc.
  Woodland Hills, CA
• 02/2022 → Present
  Ministry Partners Securities, Llc
  Brea, CA
• 10/2022 → 08/2023
  Plato's Philosophy
  Ventura, CA
• 04/2013 → Present
  Capconnect+
  Kerhonkson, NY
• 05/2023 → 09/2024
  Cadaret, Grant & Co., Inc.
  Little Silver, NJ
• 08/2022 → Present
  Opal Securities, Inc.
  New York, NY
• 05/2024 → Present
  Honey Badger Investment Securities, Llc
  Irvine, CA
• 09/2024 → Present
  Bg Worldwide Securities Inc.
  Westlake Village, CA

Previous Registrations

• 2023-05-11 → 2024-10-23
  Cadaret, Grant & Co., Inc.
  Wayne, NJ
  Little Silver, NJ
  Yulee, FL
• 2022-10-12 → 2023-08-13
  Plato'S Philosophy, Llc
  Ventura, CA
• 2020-08-12 → 2022-03-01
  Thurston Springer Advisors
  Indianapolis, IN
• 2017-01-30 → 2022-01-03
  Thurston, Springer, Miller, Herd & Titak, Inc.
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Louisville, KY
  Louisville, KY
  Sarasota, FL
  Youngstown, OH
  Deerfield, IL
  Itasca, IL
  Morton Grove, IL

Other Businesses

1. Mr. Sweeney serves as a compliance consultant and provides services to multiple FINRA member firms, registered investment advisors, firms seeking registration, and others in financial services. For registered firms, Sweeney may serve as chief compliance officer, registered principal, or other roles. These services are provided on an as-needed basis during and after standard working hours. From time to time, Sweeney will accept and depart consulting engagements. Sweeney's consulting assignments do not always require registration. Clients contractually accept that Sweeney will perform work for other clients. This Form U4 notice serves as enduring fulfillment of reporting outside business under Rule 3270. All firms with whom Sweeney registers have, through CRD, ongoing notice of his current registrations and his joining or departing another member firm. 2. Attorney - Provision of legal services. Ordinarily no engagement during market hours. Fewer than five hours per week. Not engaged in delivery of securities advice. May accept engagements in securities representation for arbitrations, regulatory actions, or lobbying efforts. May engage in pro bono representation and clinics. 3. Business consulting; product and innovation development, including designing, presenting, testing, and marketing intellectual property; author; speaker. No engagement during market hours. Approximately five hours per week. Please consult Brokercheck for current and full list of all registrations.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-12-08
• S63 Uniform Securities Agent State Law Examination
  2000-08-18

Other Names

• Brian P Sweeney