Guy 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.
Guy Sullivan, who also goes by Guy Richard Sullivan, Guy Sullivan, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1984. Guy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2021 - December 31, 2021
SILICON PARKWAY ADVISORY, LLC
August 24, 2017 - January 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2017 - January 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2014 - September 18, 2015
INVESTMENT PLANNERS, INC.
August 15, 2005 - May 3, 2012
ROSWELL CAPITAL SECURITIES, LLC
March 10, 2003 - May 16, 2003
AMERICAN SKANDIA ADVISORY SERVICES, INC.
January 3, 2001 - May 16, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 29, 1995 - February 11, 1999
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
September 22, 1987 - May 17, 1995
ADVEST, INC.
January 26, 1984 - December 23, 1986
E. F. HUTTON & COMPANY 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
Series 8
Date: 8/24/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SILICON PARKWAY ADVISORY, LLC
CRD#: 311237 / SEC#:
Contact information
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.
