Christopher Derek Sweeney

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-09-30
OH	RA	APPROVED	2019-09-29

TX RA
APPROVED_RES

Since 2019-09-30
OH RA
APPROVED

Since 2019-09-29

Branch Locations

Sylvania, OH • United States

6012 Renaissance Place Ste C, Toledo, OH 43623 • United States

2025 Riverside Dr Ste 204, Columbus, OH 43221 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Toledo	OH	04/2012	09/2019
Lpl Financial, Llc	Toledo	OH	09/2019	Present

04/2012 → 09/2019

Ameriprise Financial Services, Inc.

Toledo, OH
09/2019 → Present

Lpl Financial, Llc

Toledo, OH

Previous Registrations

2012-04-18 → 2019-09-25

Ameriprise Financial Services, Llc

Toledo, OH
2006-01-24 → 2012-04-18

Spc

Toledo, OH
2004-01-01 → 2006-02-09

Cetera Advisors Llc

Toledo, OH
2000-02-15 → 2004-01-01

Vestax Securities Corporation

Toledo, OH

Other Businesses

1. 09/27/2019 - ARC BENEFIT SOLUTIONS/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 5%/ TOLEDO, OH 2. 09/27/2019 - SWEENEY WEALTH ADVISORS, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ TOLEDO, OH 3. 10/01/1997 - NOTARY/ NOTARY/ INVESTMENT RELATED/ 1%/ TOLEDO, OH

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1990-10-02

S63 Uniform Securities Agent State Law Examination

1990-10-02

Other Names

Chris Sweeney

View on SEC IAPD