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Timothy Sweeney

Charles Schwab & Co., Inc.

Berkeley, CA

Oakland, CA

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-03-10
  • CA RA
    APPROVED
    Since 2022-03-10

Branch Locations

1995 University Ave Suite 100, Berkeley, CA 94704-1049 • United States

180 Grand Avenue, Oakland, CA 94612 • 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
Charles Schwab & Co., Inc. Berkeley CA 02/2022 Present
Charles Schwab Bank, Ssb Berkeley CA 02/2022 Present
Wintrust Investments, Llc Chicago IL 03/2016 06/2021
Great Lakes Advisors, Llc Chicago IL 03/2016 06/2021
Unemployed Lafayette CA 07/2021 02/2022
  • 02/2022 → Present
    Charles Schwab & Co., Inc.
    Berkeley, CA
  • 02/2022 → Present
    Charles Schwab Bank, Ssb
    Berkeley, CA
  • 03/2016 → 06/2021
    Wintrust Investments, Llc
    Chicago, IL
  • 03/2016 → 06/2021
    Great Lakes Advisors, Llc
    Chicago, IL
  • 07/2021 → 02/2022
    Unemployed
    Lafayette, CA
Previous Registrations
  • 2016-03-23 → 2021-06-17
    Wintrust Investments Llc
    Chicago, IL
  • 2016-03-23 → 2021-06-17
    Great Lakes Advisors, Llc
    Chicago, IL
  • 2007-11-13 → 2014-02-07
    Whv Investments, Inc.
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-06-06
S63 Uniform Securities Agent State Law Examination 2009-01-23
  • S65 Uniform Investment Adviser Law Examination
    2022-06-06
  • S63 Uniform Securities Agent State Law Examination
    2009-01-23
Other Names
  • Tim Sweeney

View on SEC IAPD

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BLUME CAPITAL MANAGEMENT, INC. · BERKELEY, CA
FUTURE FRONTIER CAPITAL, LLC · BERKELEY, CA
VOLEON CAPITAL MANAGEMENT LP · BERKELEY, CA
CITIGROUP GLOBAL MARKETS INC. · Berkeley, CA
Z21 VENTURES MANAGEMENT COMPANY, LLC · BERKELEY, CA
STRATEGIC ADVISERS LLC · BERKELEY, CA
LPL FINANCIAL LLC · BERKELEY, CA
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