Mary T. 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.
Mary Teresa Sullivan, who also goes by Mary T Sullivan, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1989. Mary had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24, Series 26 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2016 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 27, 2016 - January 11, 2021
TD AMERITRADE, INC.
May 18, 2016 - January 11, 2021
TD AMERITRADE, INC.
December 9, 2008 - August 4, 2015
VANGUARD MARKETING CORPORATION
June 20, 1989 - January 6, 2003
CHARLES SCHWAB & CO., 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
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationSeries 8
Date: 9/16/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
