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Kathleen Eileen Sweeney

Investment Adviser Representative at NORTHEAST PLANNING ASSOCIATES, INC.

Manchester, NHCRD #4897105Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
6 states
Exams Passed
4

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 6 states
ConnecticutMaineMassachusettsNew HampshireVirginiaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/23/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 5/5/2005
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/11/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Northeast Planning Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NORTHEAST PLANNING ASSOCIATES, INC.Current
2/4/2020Manchester, NH
LPL FINANCIAL LLCCurrent
8/15/2018Manchester, NH
LPL FINANCIAL LLCCurrent
8/15/2018North Conway, NH
AMERIPRISE FINANCIAL SERVICES, INC.
2/23/20176/29/2018North Conway, NH
LPL FINANCIAL LLC
7/31/200711/30/2016Haddonfield, NJ
NORTHEAST PLANNING ASSOCIATES, INC.
6/26/200611/16/2016Meredith, NH

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kathleen Eileen Sweeney has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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