Carla J. Sullivan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carla Jill Sullivan, who also goes by Carla Jill Hilldale, Carla Hilldale, Carla Hilldale Sullivan, was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 1983. Carla had worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2020 - September 23, 2022
JANNEY MONTGOMERY SCOTT LLC
November 10, 2020 - September 23, 2022
JANNEY MONTGOMERY SCOTT LLC
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
March 13, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
June 28, 1995 - February 26, 2018
SCOTTRADE, INC.
November 29, 1994 - June 9, 1995
FIRST FIDELITY BROKERS, INC.
September 14, 1989 - December 14, 1994
BALTIMORE BANCORP INVESTMENT SERVICES, INC.
August 18, 1986 - June 15, 1988
BALTIMORE BANCORP INVESTMENT SERVICES, INC.
February 1, 1984 - January 7, 1985
PLATINUM ASSOCIATES LTD.
May 23, 1983 - November 18, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
