Richard H. Sullenger
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 H Sullenger, who also goes by Richard Howard Sullenger, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 66, Series 63, Series 7 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 20, 2013 - August 27, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
September 30, 2011 - September 19, 2012
INDEPENDENT FINANCIAL GROUP, LLC
September 30, 2011 - September 19, 2012
INDEPENDENT FINANCIAL GROUP, LLC
June 5, 2009 - March 30, 2011
SUMMIT INVESTMENT ADVISORS, LLC
September 27, 2004 - September 30, 2011
VALMARK ADVISERS, INC.
July 6, 2004 - September 30, 2011
VALMARK SECURITIES, INC.
September 24, 2002 - December 31, 2008
SUMMIT INVESTMENT ADVISORS, LLC
March 27, 1989 - July 9, 2004
WALNUT STREET SECURITIES, INC.
May 24, 1984 - March 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
