Robert C. 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.
Robert Charles Sullivan, who also goes by Bob Sullivan Jr, Chip Sullivan, Robert Charles Sullivan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2010 - August 6, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
October 12, 2010 - August 6, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
January 2, 2009 - October 1, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 1, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 19, 1997 - October 1, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 14, 1994 - March 12, 1997
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 26, 1994 - October 13, 1994
U.S. BANCORP INVESTMENTS, INC.
September 4, 1990 - July 15, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 13, 1987 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
September 29, 1984 - August 8, 1987
E. F. HUTTON & COMPANY 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
Exams
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
