Terrance P. 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.
Terrance Patrick Sullivan, who also goes by Sullivan Sullivan, was a registered financial professional .
Terrance is a previously registered financial professional and started their career in finance in 1985. Terrance had worked at 2 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 1, 1986 - May 13, 1986
THOMSON MCKINNON SECURITIES INC.
October 23, 1985 - December 23, 1985
B.O.C.L. SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
THOMSON MCKINNON SECURITIES INC.
CRD#: 829 / SEC#: , 8-14450
Contact information
Documents
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.
