Sean L. 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.
Sean Lawrence Sullivan was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1986. Sean had worked at 7 firms and has passed the Series 63, Series 7, Series 6 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
September 29, 1997 - May 28, 1998
JOSEPH CHARLES & ASSOC., INC.
December 5, 1996 - September 3, 1997
AMERICAN INVESTMENT SERVICES, INC.
July 13, 1995 - August 22, 1996
LEGG MASON WOOD WALKER, INCORPORATED
November 20, 1990 - July 26, 1995
LEHMAN BROTHERS INC.
August 18, 1986 - November 13, 1990
J.P. MORGAN SECURITIES LLC
July 23, 1986 - August 26, 1986
WELCO SECURITIES, INC.
March 4, 1986 - April 19, 1986
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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