Timothy Sweeney

CRD 2147186 · Charles Schwab & Co., Inc. · Berkeley, CA

IA RegisteredBroker

Also appears in the source record as: Tim Sweeney

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 7TOSIESeries 6Series 7Series 65Series 63
Registered states (17): Arizona · California · Colorado · Connecticut · Florida · Illinois · Michigan · Missouri · Nevada · New Mexico · New York · Ohio · Oregon · Texas · Washington · West Virginia · Wisconsin
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (13)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Berkeley, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Berkeley, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Berkeley, CA · IA capacity

start not retrieved → present
Wintrust Investments
Chicago, IL · IA capacity

Mar 23, 2016 → Jun 17, 2021
Great Lakes Advisors, LLC
Chicago, IL · IA capacity

Mar 23, 2016 → Jun 17, 2021
Wintrust Investments LLC
Chicago, IL · BC capacity

Mar 23, 2016 → Jun 17, 2021
Quasar Distributors, LLC
Portland, ME · BC capacity

Jun 23, 2014 → Sep 22, 2015
Whv Investment Management, Inc.
San Francisco, CA · IA capacity

Nov 13, 2007 → Feb 7, 2014
Foreside Funds Distributors LLC
San Francisco, CA · BC capacity

Jan 15, 2009 → Aug 19, 2013
Phoenix Equity Planning Corporation
Hartford, CT · BC capacity

Apr 8, 1998 → Apr 6, 2006
Mam Securities, LLC
San Francisco, CA · BC capacity

Aug 12, 1997 → Feb 2, 1998
Montgomery Securities
San Francisco, CA · BC capacity

Aug 12, 1996 → Aug 18, 1997
Franklin/Templeton Distributors, Inc.
San Mateo, CA · BC capacity

Mar 19, 1992 → Nov 3, 1995

Source & corrections

Where this page comes from

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