Richard Sweeney, Senior Consultant
Phone (516) 742-5163
Email rsweeney@ssgadvisorsllc.com
Mr. Sweeney has 15 years of experience and exposure to risk analysis and trade surveillance working with Equities, Sovereign Debt, Convertible Securities, High Yield and Emerging Market Bonds.
Most recently he was the Branch Manager of a retail broker dealer. Prior to that Mr. Sweeney helped launch Garden City Capital, an interdealer broker of Convertible and High Yield bonds. As a Compliance Officer and Manager of Operations he oversaw all trade reporting in FINRA's TRACE system. He worked directly with the firm's FINOP and Chief Compliance Officer to ensure all daily activities complied with FINRA regulations.
Mr. Sweeney holds the series 7,24,55, 63 and the New York State Life and Health insurance license.