Thomas F. Sullivan
Professional summary
Thomas Francis Sullivan is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Francis Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2014 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701March 17, 2015 - June 28, 2024
ARIVE CAPITAL MARKETS
May 2, 2013 - August 30, 2013
LPS CAPITAL LLC
March 27, 2012 - April 25, 2013
ATON SECURITIES INC.
January 3, 2012 - March 7, 2014
MCCRACKEN ADVISORY PARTNERS CORPORATION
September 28, 2011 - December 22, 2011
U.S. SECURITIES, INTL. CORP.
September 24, 2004 - May 25, 2007
ETICO PARTNERS, LLC
September 3, 1998 - September 23, 2004
TRADITION SECURITIES AND DERIVATIVES LLC
August 3, 1998 - September 30, 2004
STANDARD CREDIT SECURITIES INC.
March 15, 1995 - July 31, 1998
SDI CAPITAL MARKETS, INC.
February 23, 1994 - March 16, 1995
LEHMAN BROTHERS INC.
June 24, 1986 - April 4, 1989
SCHRODER & CO. 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
(12/5/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 1/17/2002
Limited Representative-Equity Trader ExamFINRA
Current Firm
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
FINRA licenses (52 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 | 6 |
| Arbitration | 1 |
Red Flags
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