Brian 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.
Brian Sullivan was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 7 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
October 29, 2013 - October 8, 2020
SULLIVAN & WHITE ASSET MANAGEMENT
July 13, 2009 - March 5, 2013
CITIZENS JMP SECURITIES, LLC
October 16, 2002 - March 25, 2008
PIPER SANDLER & CO.
October 16, 2002 - December 22, 2008
PIPER SANDLER & CO.
November 18, 1998 - September 17, 2002
ROBERTSON STEPHENS, INC.
September 1, 1998 - September 17, 2002
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
March 12, 1996 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
December 6, 1995 - February 21, 1996
SUTRO & CO. INCORPORATED
July 31, 1992 - December 12, 1995
LEHMAN BROTHERS INC.
July 25, 1991 - May 13, 1992
MONTGOMERY SECURITIES
February 11, 1987 - August 30, 1990
MANUFACTURERS HANOVER SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Series 55
Date: 5/20/2011
Limited Representative-Equity Trader ExamCurrent Firm
SULLIVAN & WHITE ASSET MANAGEMENT
CRD#: 168056 / SEC#:
Contact information
Red Flags
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