Richard T. 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.
Richard Thomas Sullivan JR, who also goes by Richard Thomas Sullivan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 6 firms and has passed the Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1988 - April 30, 1996
F.N. WOLF & CO., INC.
January 1, 1988 - May 17, 1988
SHERWOOD CAPITAL, INC.
August 25, 1987 - December 19, 1987
PHILIPS, APPEL & WALDEN, INC.
November 14, 1986 - August 20, 1987
MULLER AND COMPANY, INC.
July 17, 1986 - August 11, 1986
SBC WARBURG DILLON READ INC.
December 21, 1983 - May 3, 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
Series 8
Date: 10/12/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
F.N. WOLF & CO., INC.
CRD#: 13051 / SEC#: , 8-28653
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.
