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Joshua Edward Sweeney

Connecticut Wealth Management, LLC

Farmington, CT

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Current Employers
Connecticut Wealth Management, Llc

281 Farmington Avenue, Farmington, CT 06032-1911 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-03-30
  • CT RA
    APPROVED
    Since 2023-03-30

Branch Locations

281 Farmington Avenue, Farmington, CT 06032-1911 • 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
Water Island Capital Albany NY 02/2012 08/2019
Alps Distributors, Inc. Denver CO 02/2012 08/2019
Ameriprise Financial Services, Llc Atlanta GA 07/2020 06/2022
Pathfinder Wealth Consulting Wilmington NC 08/2019 02/2020
Charterup Atlanta GA 02/2020 07/2020
Water Island Capital - The Arbitrage Funds New York NY 02/2012 08/2019
Procarian Wealth Advisors Atlanta GA 07/2020 05/2022
Charterup Atlanta GA 06/2022 02/2023
Connecticut Wealth Management Farmington CT 02/2023 01/2026
Connecticut Wealth Management Farmington CT 01/2026 Present
  • 02/2012 → 08/2019
    Water Island Capital
    Albany, NY
  • 02/2012 → 08/2019
    Alps Distributors, Inc.
    Denver, CO
  • 07/2020 → 06/2022
    Ameriprise Financial Services, Llc
    Atlanta, GA
  • 08/2019 → 02/2020
    Pathfinder Wealth Consulting
    Wilmington, NC
  • 02/2020 → 07/2020
    Charterup
    Atlanta, GA
  • 02/2012 → 08/2019
    Water Island Capital - The Arbitrage Funds
    New York, NY
  • 07/2020 → 05/2022
    Procarian Wealth Advisors
    Atlanta, GA
  • 06/2022 → 02/2023
    Charterup
    Atlanta, GA
  • 02/2023 → 01/2026
    Connecticut Wealth Management
    Farmington, CT
  • 01/2026 → Present
    Connecticut Wealth Management
    Farmington, CT
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-28
S63 Uniform Securities Agent State Law Examination 2012-03-16
  • S65 Uniform Investment Adviser Law Examination
    2020-08-28
  • S63 Uniform Securities Agent State Law Examination
    2012-03-16
Designations
Other Names
  • Joshua Edward Sweeney
  • Joshua E Sweeney

View on SEC IAPD

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