Timothy P. Sullivan
Professional summary
Timothy Patrick Sullivan is a registered financial professional currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1990. Timothy has worked at 3 firms and has passed the Series 63, SIE, Series 82 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Patrick Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2018 - Present
CHATSWORTH SECURITIES LLC
Office #1: 95 East Putnam Avenue, Greenwich, CT 06830March 24, 1994 - April 23, 1997
SWISSKEY FUND SERVICES, INC.
February 21, 1990 - April 4, 1992
EQUITILINK U.S.A., 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
(11/6/2018)
(2/1/2022)
Exams
FINRA
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory 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.
