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Shawn S. Sullivan

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CRD#: 1517434
SS

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.

Shawn Stephen Sullivan was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1986. Shawn had worked at 10 firms and has passed the Series 63, Series 7TO, Series 82TO, SIE, Series 7 and Series 24 exams.

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 17, 2023 - January 10, 2025

CADMAN SECURITIES, LLC

BD
CRD#: 128344
CHICAGO, IL
Past

January 13, 2023 - July 12, 2023

CHARLES TOWNE SECURITIES, LLC

BD
CRD#: 172278
CHARLESTON, SC
Past

May 16, 2006 - October 24, 2008

HADLEY PARTNERS, INCORPORATED

BD
CRD#: 103897
EL SEGUNDO, CA
Past

May 20, 2003 - October 18, 2004

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
CHICAGO, IL
Past

April 27, 2000 - July 20, 2001

LIMITRADER SECURITIES, INC.

BD
CRD#: 22587
NEW YORK, NY
Past

June 7, 1999 - March 21, 2000

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 15, 1995 - June 7, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

July 16, 1992 - December 15, 1995

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

February 12, 1991 - March 14, 1992

S.N. PHELPS & CO.

BD
CRD#: 18341
Past

June 1, 1990 - January 3, 1991

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

September 24, 1986 - March 14, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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
RR
Series 63
Date: 2/24/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/3/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/13/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 12/7/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/24/2003
General Securities Principal Examination

Current Firm

CS
CADMAN SECURITIES, LLC
ANCHOR ASSET MANAGEMENT LLC | CADMAN SECURITIES, LLC

CRD#: 128344 / SEC#: , 8-66126

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

Main Address
313 W Wolf Point Plaza Unit 3601, Chicago, IL 60654
Mailing Address
313 W Wolf Point Plaza Unit 3601, Chicago, IL 60654
Phone number
(980) 420-6301
Established
New York since 08/06/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CADMAN CAPITAL HOLDINGS, LLCOWNER
BROWN, SCOTT LESLIEFINOP6694802
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907
REGAN, MICHAEL TIMOTHYCEO2458924

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

CADMAN SECURITIES, LLC

CRD#: 128344

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