Shaw P. 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.
Shaw Patrick Sullivan was a registered financial professional .
Shaw is a previously registered financial professional and started their career in finance in 1983. Shaw had worked at 4 firms and has passed the Series 63, Series 7 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
July 23, 1991 - December 5, 1991
U.S. SECURITIES CLEARING CORP.
January 2, 1991 - December 11, 1991
KOBER FINANCIAL CORP.
November 27, 1984 - December 11, 1990
THE STUART-JAMES COMPANY, INCORPORATED
July 21, 1983 - November 26, 1984
R.B. MARICH, INC.
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
Current Firm
U.S. SECURITIES CLEARING CORP.
CRD#: 15403 / SEC#: , 8-32095
Contact information
Documents
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.
