Michael D. Sullivan
Professional summary
Michael Daniel Sullivan, who also goes by Mike Sullivan, is a registered financial professional currently at DEALERWEB LLC located in Jersey City, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 11 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Daniel Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2012 - Present
DEALERWEB LLC
Office #1: 185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311Office #2: 185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311October 6, 2010 - August 18, 2011
BGC FINANCIAL, L.P.
November 7, 2008 - May 6, 2010
RAFFERTY CAPITAL MARKETS, LLC
March 5, 2007 - October 16, 2008
RAFFERTY CAPITAL MARKETS, LLC
January 3, 2005 - January 16, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
October 2, 2002 - December 6, 2004
BGC FINANCIAL, L.P.
April 20, 1994 - October 10, 2002
TULLETT LIBERTY BROKERAGE INC.
September 11, 1992 - September 30, 1994
INTERCAPITAL GOVERNMENT SECURITIES INC.
February 28, 1991 - September 9, 1992
FUNDAMENTAL BROKERS
October 4, 1989 - February 28, 1991
FUNDAMENTAL BROKERS
July 25, 1987 - June 13, 1989
NATWEST CAPITAL MARKETS SECURITIES INC.
January 21, 1987 - June 13, 1989
WESTMINSTER RESEARCH ASSOCIATES LLC
May 20, 1986 - December 9, 1986
H.J. MEYERS & CO., 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
(1/3/2012)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
DEALERWEB LLC
CRD#: 19662 / SEC#: , 8-38103
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB IDB MARKETS, INC. | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| COTTER, RICHARD JOSEPH JR | PRINCIPAL FINANCIAL OFFICER | 1611037 |
| GALINDO, JORGE ALBERTO JR | PRINCIPAL OPERATIONS OFFICER | 2501261 |
| HUESTIS, TIMOTHY DANIEL | EXECUTIVE REPRESENTATIVE | 4931620 |
| MCKEON, ALFRED PETER | PRESIDENT | 1666355 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| SULLIVAN, MICHAEL FRANCIS | CHIEF COMPLIANCE OFFICER | 3254037 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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