Brian L. 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.
Brian Lawrence Sullivan was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2024 - February 3, 2025
STRATOS INVESTMENT MANAGEMENT, LLC
March 12, 2008 - July 25, 2023
PUTNAM INVESTMENT MANAGEMENT, LLC
October 29, 2001 - February 19, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
November 1, 1993 - July 25, 2023
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 13, 1984 - October 13, 1993
FEDERATED SECURITIES CORP.
Primary Firm SEC Registration
STRATOS INVESTMENT MANAGEMENT, LLC
CRD#: 283850 / SEC#: 801-107873
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
STRATOS INVESTMENT MANAGEMENT, LLC
CRD#: 283850 / SEC#: 801-107873
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,427 |
| AUM (Assets Under Management) | $ 2,442,199,672 |
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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