Kathleen Sweeney has been an investment adviser representative at Northeast Planning Associates since February 2020, and is not listed among the firm’s executive officers or direct owners.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
Kathleen Sweeney’s longest registration was 10 years at Northeast Planning Associates, Inc. (2006–2016). Before joining Northeast Planning Associates in 2020, Kathleen Sweeney was registered through Ameriprise Financial Services, Inc. and LPL Financial LLC.
- – present · 6 yearsManchester, NH · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 8 yearsNorth Conway, NH · Adviser representative and broker · Firm CRD 6413
- Ameriprise Financial Services, Inc.– · 1 yearNorth Conway, NH · Adviser representative · Firm CRD 6363
- LPL Financial LLC– · 9 yearsHaddonfield, NJ · Adviser representative · Firm CRD 6413
- – · 10 yearsMeredith, NH · Adviser representative · Firm CRD 131406
Investment adviser representative registrations
Kathleen Sweeney is registered as an investment adviser representative in New Hampshire, since August 2018.
- New HampshireSince 15 August 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 23 June 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 May 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 May 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Kathleen Eileen Sweeney
- CRD
- 4897105
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 425 HOOKSETT ROAD, Manchester, NH 03104
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2005
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Kathleen Sweeney work?
Kathleen Sweeney is an investment adviser representative registered through Northeast Planning Associates, Inc. since February 2020, and is not listed among the firm’s executive officers or direct owners.
Is Kathleen Sweeney a financial advisor?
Yes. Kathleen Sweeney has a current investment-adviser registration in New Hampshire, through Northeast Planning Associates since February 2020.
How many years of experience does Kathleen Sweeney have?
Kathleen Sweeney has 21 years in the financial industry, since September 2005, across 3 adviser firms.
What exams has Kathleen Sweeney passed?
Kathleen Sweeney has passed 3 licensing exams: the Series 63, Series 6 and Series 65. The earliest, the Series 63, was passed in May 2005. FINRA credited Kathleen Sweeney with the SIE, which began in October 2018.
Where did Kathleen Sweeney work before Northeast Planning Associates?
Before Northeast Planning Associates, Kathleen Sweeney was registered through Ameriprise Financial Services, Inc., February 2017 to June 2018; LPL Financial LLC, July 2007 to November 2016.
Where is Kathleen Sweeney based?
Kathleen Sweeney’s registered office is in Manchester, NH.
Is Kathleen Sweeney registered with FINRA?
Yes. Kathleen Sweeney has a current broker registration, under CRD 4897105.
Source: FINRA BrokerCheck
How can I verify Kathleen Sweeney’s record?
Search CRD 4897105 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kathleen Sweeney’s full registration record.
