Unclaimed Profile

Brian Philip Sweeney

SWEENEY & MICHEL, LLC·CHICO, California

SIE, Series 4, Series 7, Series 24, Series 63, Series 6529 years registeredSWEENEY & MICHEL, LLC

2452 LAKEWEST DRIVE, CHICO, CA 95928CRD# 716386Firm CRD# 282595

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Brian Philip Sweeney · CHICO, CA

Registration

CRD #716386 · SWEENEY & MICHEL, LLC · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SWEENEY & MICHEL, LLC

SWEENEY & MICHEL, LLC

Apr 2016 – Mar 2025

CHICO, CA

CETERA ADVISOR NETWORKS LLC

Jul 1997 – Dec 2018

CHICO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · July 8, 1997

Years registered · 29

Disclosure History

1988Customer Dispute·Pending

1985Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SWEENEY & MICHEL, LLC

CRD 282595 · SEC 801-113350

AUM

$558M

Regulatory assets under management

Employees

1,602 client accounts

Services offered by SWEENEY & MICHEL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SWEENEY & MICHEL, LLC →

Introduction

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Frequently Asked Questions

What services does Brian Philip Sweeney offer?

Brian Philip Sweeney specializes in Financial Planning, Investment Management.

What are Brian Philip Sweeney's credentials?

Brian Philip Sweeney is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Brian Philip Sweeney located?

Brian Philip Sweeney is based in CHICO, California, last registered with SWEENEY & MICHEL, LLC.

How does Brian Philip Sweeney charge for services?

Brian Philip Sweeney's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SWEENEY & MICHEL, LLC?

SWEENEY & MICHEL, LLC has approximately 6 employees and manages $558M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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