Timothy M Sweeney

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 12/2016
  Charles Schwab
  Okc, OK
• 01/2017 → 10/2025
  David Houston
  Oklahoma City, OK
• 01/2017 → 10/2025
  Northwestern Mutual Investment Services Llc
  Oklahoma City, OK
• 03/2017 → 10/2025
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 10/2025 → Present
  Mariner
  Overland Park, KS

Previous Registrations

• 2017-01-17 → 2025-10-14
  Northwestern Mutual Investment Services, Llc
  Oklahoma City, OK
• 2013-04-09 → 2016-12-19
  Charles Schwab & Co., Inc.
  Oklahoma City, OK
• 2011-01-03 → 2013-03-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oklahoma City, OK

Exams

• S66 Uniform Combined State Law Examination
  2010-12-19

Other Names

• Tim M Sweeney