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CS

Craig R. Sullivan

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CRD#: 1275555
CS

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.

Craig Richard Sullivan was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1984. Craig had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 52 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 15, 2019 - March 12, 2020

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
ORLANDO, FL
Past

January 24, 2019 - June 7, 2019

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
ORLANDO, FL
Past

March 24, 2010 - September 14, 2017

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
ATLANTA, GA
Past

November 20, 2008 - March 19, 2010

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ATLANTA, GA
Past

November 17, 2008 - March 19, 2010

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ATLANTA, GA
Past

February 28, 2006 - August 8, 2008

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
ATLANTA, GA
Past

December 1, 2003 - March 1, 2006

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
ATLANTA, GA
Past

May 2, 2003 - December 10, 2003

PFM CAPITAL MANAGEMENT LLC

RIA
CRD#: 106390
ATLANTA, GA
Past

September 26, 2000 - December 2, 2003

KNIGHT BONDPOINT, INC.

BD
CRD#: 102580
ATLANTA, GA
Past

August 6, 1992 - March 16, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 29, 1984 - July 6, 1992

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/8/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/14/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/21/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 12/5/1984
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 9/23/1983
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/12/2004
General Securities Principal Examination

Current Firm

TC
TRIBAL CAPITAL MARKETS, LLC
BCS BROKERAGE, INC. | TRIBAL CAPITAL MARKETS, LLC | BLUE CAPITAL SECURITIES, INC.

CRD#: 38901 / SEC#: , 8-48460

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
10243 Mattraw Place, Orlando, FL 32836
Mailing Address
10243 Mattraw Place, Orlando, FL 32836
Phone number
(212) 376-7492
Established
Delaware since 04/20/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PLP CAPITAL, LLCMEMBER
HARRIS, PATRICK EUGENECCO5748909
LAPIETRA, PETERCEO2273197
OCHOJSKI, GREGORY ANDREFINOP4705726

Disclosures

Regulatory Event2

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.

Company Information

TRIBAL CAPITAL MARKETS, LLC

CRD#: 38901

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