Joseph Sweeney has been Managing Member of Sweeney & Michel since March 2016, is a control person of the firm and directly owns between 50% and 75% of it.
Sweeney & Michel, LLC is a Chico, CA firm with $753M under management, 688 clients and 3 advisers in one office, as of its March 2026 filing.
Joseph Sweeney’s longest registration is the current one, 10 years at Sweeney & Michel since 2016. Before joining Sweeney & Michel in 2016, Joseph Sweeney was registered through Cetera Advisor Networks LLC.
- Sweeney & Michel, LLCCurrent– present · 10 yearsChico, CA · Adviser representative · Firm CRD 282595
- Cetera Advisor Networks LLC– · 8 yearsChico, CA · Adviser representative · Firm CRD 13572
Investment adviser representative registrations
Joseph Sweeney is registered as an investment adviser representative in California, since March 2016.
- CaliforniaSince 31 March 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 17 September 2010 |
| Series 7 | General Securities Representative Examination | 18 June 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Daniel Sweeney
- CRD
- 4968553
- Firm
- Sweeney & Michel · CRD 282595
- Role
- Managing Member
- Office
- 196 COHASSET ROAD, SUITE 100, Chico, CA 95926
- Registration
- Investment adviser registration
- In the industry since
- June 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does Joseph Sweeney work?
Joseph Sweeney has been Managing Member of Sweeney & Michel, LLC since March 2016, and is a control person of the firm.
Is Joseph Sweeney a financial advisor?
Yes. Joseph Sweeney has a current investment-adviser registration in California, through Sweeney & Michel since March 2016.
How many years of experience does Joseph Sweeney have?
Joseph Sweeney has 16 years in the financial industry, since June 2010, across 2 adviser firms.
What exams has Joseph Sweeney passed?
Joseph Sweeney has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2010. FINRA credited Joseph Sweeney with the SIE, which began in October 2018.
Where is Joseph Sweeney based?
Joseph Sweeney’s registered office is in Chico, CA.
Is Joseph Sweeney registered with FINRA?
No. Joseph Sweeney has no current broker registration.
How can I verify Joseph Sweeney’s record?
Search CRD 4968553 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Sweeney’s full registration record.
