Samuel F Sweeney

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-01-15
CO	RA	APPROVED	2024-03-01

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Denver	CO	11/2023	Present
St Lawrence University	Canton	NY	08/2014	05/2018
Talkeetna Alaskan Lodge	Talkeetna	AK	06/2018	10/2018
Hotel Teatro	Denver	CO	10/2018	12/2018
Extended Travel	Melbourne		01/2019	12/2019
Unemployed	Denver	CO	01/2020	05/2020
Trouts Fly Fishing	Denver	CO	05/2020	10/2020
Convercent By Onetrust	Denver	CO	10/2020	06/2022
Unemployed	Denver	CO	06/2022	10/2022
Pax8	Denver	CO	10/2022	10/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Denver	CO	06/2017	08/2017
Bank Of America, N.A.	Denver	CO	01/2023	Present

11/2023 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO
08/2014 → 05/2018

St Lawrence University

Canton, NY
06/2018 → 10/2018

Talkeetna Alaskan Lodge

Talkeetna, AK
10/2018 → 12/2018

Hotel Teatro

Denver, CO
01/2019 → 12/2019

Extended Travel

Melbourne
01/2020 → 05/2020

Unemployed

Denver, CO
05/2020 → 10/2020

Trouts Fly Fishing

Denver, CO
10/2020 → 06/2022

Convercent By Onetrust

Denver, CO
06/2022 → 10/2022

Unemployed

Denver, CO
10/2022 → 10/2023

Pax8

Denver, CO
06/2017 → 08/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO
01/2023 → Present

Bank Of America, N.A.

Denver, CO

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-02-29

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