Peter M. 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.
Peter Maclean Sullivan, who also goes by Peter M Sullivan, Peter Maclean Sullivan, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 7 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 22, 2022 - August 5, 2024
VIRTUS INVESTMENT ADVISERS, LLC
April 21, 2022 - August 5, 2024
VP DISTRIBUTORS LLC
May 9, 2021 - April 7, 2022
INNOVATION PARTNERS LLC
December 16, 2019 - April 16, 2021
FNEX CAPITAL, LLC
November 14, 2018 - June 3, 2019
FDX CAPITAL LLC
January 11, 2016 - October 9, 2018
FNEX CAPITAL, LLC
January 4, 2013 - December 7, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
February 7, 2011 - December 4, 2012
PATRICK CAPITAL MARKETS, LLC
January 8, 2008 - August 28, 2008
GRANT WILLIAMS L.P.
December 1, 2005 - April 13, 2007
FRANKLIN DISTRIBUTORS, LLC
March 11, 2004 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
August 7, 2003 - October 13, 2003
BNY ADVISORS
August 6, 2003 - October 13, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
September 25, 2000 - January 24, 2003
VP DISTRIBUTORS LLC
August 27, 1998 - October 20, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 31, 1996 - July 13, 1998
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
August 21, 1990 - December 5, 1996
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
May 29, 1986 - July 20, 1989
FIDELITY BROKERAGE SERVICES LLC
December 18, 1984 - May 9, 1985
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
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: 2/24/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 105 |
| AUM (Assets Under Management) | $ 53,982,609,839 |
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.
