Matthew Sweeney has been President of William Joseph Capital Management since April 2015, is a control person of the firm and directly owns between 25% and 50% of it.
William Joseph Capital Management, Inc. is a Bristol, CT firm with $694M under management, 1,879 clients and 27 advisers across 28 offices, as of its March 2026 filing.
Matthew Sweeney is Managing Partner and Chief Executive Officer of William Joseph Capital Management, Inc., headquartered in Connecticut; he became CEO in 2026. He began his career at Morgan Stanley Smith Barney as a Financial Advisor and joined Virtus Investment Partners in 2011, in its wholesale distribution group. In 2015 he became a partner at William Joseph Capital Management, Inc., and he leads the firm's Investment Committee.
Matthew Sweeney’s longest registration is the current one, 11 years at William Joseph Capital Management since 2015. Before joining William Joseph Capital Management in 2015, Matthew Sweeney was registered through Virtus Investment Advisers, Inc. and Morgan Stanley Smith Barney LLC.
- – present · 11 yearsAdviser representative · Firm CRD 226535
- Virtus Investment Advisers, Inc.– · 3 yearsHartford, CT · Adviser representative · Firm CRD 106982
- Morgan Stanley Smith Barney LLC– · under a yearHartford, CT · Adviser representative · Firm CRD 149777
- Metlife Securities Inc.– · under a yearWethersfield, CT · Adviser representative · Firm CRD 14251
Investment adviser representative registrations
Matthew Sweeney is registered as an investment adviser representative in 3 states. The first approvals date from June 2015; the most recent is Florida, in December 2016.
- ConnecticutSince 23 June 2015
- FloridaSince 6 December 2016
- TexasSince 27 January 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 30 September 2010 |
| Series 7 | General Securities Representative Examination | 6 April 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 October 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 September 2009 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 10 September 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Matthew Thomas Sweeney
- CRD
- 5705171
- Firm
- William Joseph Capital Management · CRD 226535
- Role
- President
- Registration
- Investment adviser registration
- In the industry since
- September 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- williamjosephcapital.com
Where does Matthew Sweeney work?
Matthew Sweeney has been President of William Joseph Capital Management, Inc. since April 2015, and is a control person of the firm.
Is Matthew Sweeney a financial advisor?
Yes. Matthew Sweeney has a current investment-adviser registration in Connecticut, Florida and Texas, through William Joseph Capital Management since June 2015.
How many years of experience does Matthew Sweeney have?
Matthew Sweeney has 16 years in the financial industry, since September 2010, across 4 adviser firms.
What exams has Matthew Sweeney passed?
Matthew Sweeney has passed 5 licensing exams: the Series 6, Series 63, Series 65, Series 7 and Series 31. The earliest, the Series 6, was passed in September 2009. FINRA credited Matthew Sweeney with the SIE, which began in October 2018.
Where did Matthew Sweeney work before William Joseph Capital Management?
Before William Joseph Capital Management, Matthew Sweeney was registered through Virtus Investment Advisers, Inc., October 2011 to April 2015; Morgan Stanley Smith Barney LLC, August 2010 to March 2011; Metlife Securities Inc., November 2009 to July 2010.
Is Matthew Sweeney registered with FINRA?
No. Matthew Sweeney has no current broker registration.
How can I verify Matthew Sweeney’s record?
Search CRD 5705171 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Matthew Sweeney’s full registration record.
