Thomas Francis Sullivan
Professional Summary
Thomas Francis Sullivan is a registered financial advisor currently at ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 27, Series 53, Series 4, Series 24, Series 14, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
40 years in the financial services industry
Current & Past Employments
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Current Firm
ALEXANDER CAPITAL, L.P.
Contact Information
Main Address
10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701Mailing Address
10 Drs James Parker Blvd Suite 201, Red Bank, NJ 07701Phone Number
(212) 687-5650Established
Delaware since 11/28/1995Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENA MANAGEMENT LLC | PARTNER | — |
| JSEC INC | PARTNER | — |
| SALKIND, CATHERINE P | PARTNER | 7021439 |
| RUGGIERE, JOSEPH MATTHEW | PARTNER | 2548108 |
| RUGGIERE, WAYNE NMN | PARTNER | 7200730 |
| SALKIND, GENE Z | PARTNER | 7021417 |
| AMATO, JOSEPH ANTHONY | CEO | 2751635 |
| ELDREDGE, MICHAEL WILLIAM | BRANCH MANAGER ATL OFFICE | 2903014 |
| FAUCI, JODI | GENERAL SECS PRINCIPAL | 4189732 |
| FEMIANO, JOHN FRANCIS | GENERAL SECS PRINCIPAL, ANNUUITIES PRINCIPAL | 2132030 |
| FRANCONE, VITO ANTONIO II | COMPLIANCE ASSOCIATE | 2349326 |
| GUIDICIPIETRO, ROCCO GERARD | COO | 2489732 |
| KRISPEAL, RAQUEL E | SENIOR COMPLIANCE OFFICER, BRANCH MANAGER | 5733217 |
| MARTORANO, CARL MARIO | BRANCH MANAGER/OPERATIONS MANAGER/ROSFP | 2286051 |
| MESSINA, PAUL MICHAEL | GENERAL SECS PRINCIPAL, ROSFP, CO-MSRB PRINCIPAL | 5897543 |
| MISITI, MICHELE ANN | CHIEF COMPLIANCE OFFICER - ROSFP - AML OFFICER | 1931272 |
| ROTH, BARBARA NMN | PARTNER | 7200728 |
| SKOVRONCK, JEANPAUL CHARLES | DESIGNATED SUPERVISOR, DEPUTY AML OFFICER | 2744738 |
| STACK, TIMOTHY | SENIOR COMPLIANCE OFFICER | 1426363 |
| STAFFORD, LAWRENCE ROBERT | CHIEF TECHNOLOGY OFFICER | 7046577 |
| SULLIVAN, THOMAS FRANCIS | FINOP/CHIEF FINANCIAL OFFICER/CO-MSRB PRINCIPAL | 1145000 |
| THE SALKIND FAMILY FOUNDATION | PARTNER | — |
Disclosures
Regulatory Event
6Arbitration
1Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
(12/5/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jan 2002Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2001About the Series 9 examSRO Registrations
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Thomas Francis Sullivan's CRS (Customer Relationship Summary).
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
