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Brian Michael Sweatt

LPl Financial LLC

Green Brook, NJ

Annandale, NJ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-12-18
NJ RA APPROVED 2020-11-30
  • TX RA
    APPROVED_RES
    Since 2024-12-18
  • NJ RA
    APPROVED
    Since 2020-11-30

Branch Locations

235 Us Highway 22 Ste 6, Green Brook, NJ 08812-1917 • United States

Annandale, NJ • 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
Raymond James Financial Services, Inc. Green Brook NJ 10/2014 11/2020
Raymond James Financial Services Advisors Inc. Green Brook NJ 11/2014 11/2020
Sweatt & Walters Assoc Llc Green Brook NJ 10/1985 Present
Sweatt & Walters Green Brook NJ 10/2014 Present
Lpl Financial San Diego CA 11/2020 Present
  • 10/2014 → 11/2020
    Raymond James Financial Services, Inc.
    Green Brook, NJ
  • 11/2014 → 11/2020
    Raymond James Financial Services Advisors Inc.
    Green Brook, NJ
  • 10/1985 → Present
    Sweatt & Walters Assoc Llc
    Green Brook, NJ
  • 10/2014 → Present
    Sweatt & Walters
    Green Brook, NJ
  • 11/2020 → Present
    Lpl Financial
    San Diego, CA
Previous Registrations
Other Businesses

1) 1982 - DBA for LPL Business (entity for LPL business) - SWEATT & WALTERS ASSOC, LLC - Investment Related - Green Brook, NJ 08812

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-12
S63 Uniform Securities Agent State Law Examination 1998-09-10
  • S65 Uniform Investment Adviser Law Examination
    2008-06-12
  • S63 Uniform Securities Agent State Law Examination
    1998-09-10
Other Names
  • Brian M Sweatt

View on SEC IAPD

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Other Offices

ACA/PRUDENT INVESTORS PLANNING CORPORATION · GREEN BROOK, NJ
ACA/PRUDENT INVESTORS PLANNING CORPORATION · GREEN BROOK, NJ
LPL FINANCIAL LLC · MIDDLESEX, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MIDDLESEX, NJ
AUGULIS FINANCIAL FIRM, L.L.C. · WARREN, NJ
AUGULIS FINANCIAL FIRM, L.L.C. · Warren, NJ
WELLS FARGO CLEARING SERVICES, LLC · WARREN, NJ
COVENANT ASSET MANAGEMENT, LLC · WARREN, NJ

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