Kimberly S. 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.
Kimberly Suzanne Sullivan, who also goes by Kimn Pizuto, Kimn Suzanne Sullivan, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1985. Kimberly 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
January 18, 2012 - October 10, 2013
CASTLEOAK SECURITIES, LP
October 5, 2011 - February 13, 2012
TIGRESS FINANCIAL PARTNERS, LLC
July 18, 2011 - February 13, 2012
BENJAMIN & JEROLD BROKERAGE I, LLC
May 3, 2010 - September 30, 2010
PROVIDENT INTERNATIONAL SECURITIES, INC.
September 22, 2008 - November 20, 2008
BARCLAYS CAPITAL INC.
November 14, 1988 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 3, 1987 - October 18, 1994
LEHMAN GOVERNMENT SECURITIES INC.
November 19, 1985 - September 22, 2008
LEHMAN BROTHERS 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
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
