Sean J. 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 Jeffrey Sullivan, who also goes by Sean J Sullivan, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1987. Sean had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 10, Series 9 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
June 17, 2014 - August 19, 2015
REDI GLOBAL TECHNOLOGIES LLC
June 29, 2005 - August 23, 2011
EZE CASTLE TRANSACTION SERVICES LLC
September 25, 2003 - June 14, 2004
HARVEST CAPITAL LLC
October 15, 1996 - October 5, 2001
BRIDGE TRADING COMPANY
April 19, 1995 - April 20, 1995
HAMBRECHT & QUIST LLC
May 19, 1993 - June 1, 1994
SAPERSTON FINANCIAL INC.
March 16, 1993 - May 28, 1993
G.R. STUART & COMPANY, INC.
June 3, 1992 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
February 4, 1991 - June 12, 1991
KRUPP SECURITIES CORPORATION
July 13, 1989 - May 16, 1990
LEHMAN BROTHERS INC.
November 25, 1987 - August 1, 1989
MORGAN STANLEY DW 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
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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.
