Thomas D. 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.
Thomas Daniel Sullivan was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 17 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2019 - September 14, 2022
SW FINANCIAL
October 2, 2017 - December 17, 2019
WORDEN CAPITAL MANAGEMENT LLC
December 13, 2016 - October 12, 2017
WESTPARK CAPITAL, INC.
June 3, 2016 - December 14, 2016
QUINT CAPITAL CORPORATION
June 21, 2010 - May 24, 2016
LAMPERT CAPITAL MARKETS INC.
July 20, 2007 - June 17, 2010
HALLMARK INVESTMENTS, INC.
August 23, 2006 - August 23, 2007
CLARK DODGE & CO., INC.
January 18, 2006 - September 13, 2006
HALLMARK INVESTMENTS, INC.
May 5, 2005 - January 26, 2006
VFINANCE INVESTMENTS, INC
January 16, 2004 - May 5, 2005
EASTBROOK CAPITAL GROUP LLC
January 2, 2002 - February 6, 2004
OPPENHEIMER & CO. INC.
March 12, 1997 - January 2, 2002
PRIME CHARTER LTD.
November 9, 1995 - March 27, 1997
ROAN CAPITAL PARTNERS L.P.
May 2, 1995 - November 6, 1995
A.S. GOLDMEN & CO., INC.
June 2, 1993 - February 2, 1995
BLUESTONE CAPITAL CORP.
January 19, 1989 - May 26, 1993
LEHMAN BROTHERS INC.
June 23, 1986 - January 14, 1989
UBS FINANCIAL SERVICES INC.
August 2, 1984 - July 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 1983 - July 19, 1984
LEHMAN BROTHERS 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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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