PS
Patrick Sullivan
BAIN CAPITAL MARKETS
Boston, MA 02116
Some features on this profile are disabled
CRD#: 1661935
PS
Professional summary
Patrick Sullivan, who also goes by Pat Sullivan, is a registered financial professional currently at BAIN CAPITAL MARKETS, LLC located in Boston, Massachusetts.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1989. Patrick has worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pat Sullivan
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.
CRS (Client Relationship Summary) - BD
Click below to view Patrick Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 5, 2016 - Present
BAIN CAPITAL MARKETS, LLC
Office #1: 200 Clarendon Street, Boston, MA 02116BD
CRD#: 175456
Boston, MA
Past
September 19, 1989 - August 29, 2012
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/26/2016)
RR
Alaska(10/20/2016)
RR
Arizona(10/20/2016)
RR
Arkansas(10/21/2016)
RR
California(10/20/2016)
RR
Colorado(10/20/2016)
RR
Connecticut(10/20/2016)
RR
Delaware(10/31/2016)
RR
District of Columbia(10/20/2016)
RR
Florida(10/20/2016)
RR
Georgia(11/28/2016)
RR
Hawaii(10/24/2016)
RR
Idaho(10/19/2016)
RR
Illinois(10/20/2016)
RR
Indiana(10/20/2016)
RR
Iowa(10/24/2016)
RR
Kansas(11/29/2016)
RR
Kentucky(10/20/2016)
RR
Louisiana(10/20/2016)
RR
Maine(10/20/2016)
RR
Maryland(10/20/2016)
RR
Massachusetts(10/24/2016)
RR
Michigan(10/24/2016)
RR
Minnesota(11/18/2016)
RR
Mississippi(10/28/2016)
RR
Missouri(11/23/2016)
RR
Montana(10/20/2016)
RR
Nebraska(11/14/2016)
RR
Nevada(11/1/2016)
RR
New Hampshire(11/17/2016)
RR
New Jersey(11/18/2016)
RR
New Mexico(10/20/2016)
RR
New York(10/20/2016)
RR
North Carolina(10/19/2016)
RR
North Dakota(10/22/2016)
RR
Ohio(10/20/2016)
RR
Oklahoma(10/24/2016)
RR
Oregon(10/20/2016)
RR
Pennsylvania(10/20/2016)
RR
Puerto Rico(10/26/2016)
RR
Rhode Island(10/20/2016)
RR
South Carolina(10/24/2016)
RR
South Dakota(10/20/2016)
RR
Tennessee(10/20/2016)
RR
Texas(11/1/2016)
RR
Utah(10/20/2016)
RR
Vermont(10/25/2016)
RR
Virgin Islands(10/24/2016)
RR
Virginia(10/20/2016)
RR
Washington(10/24/2016)
RR
West Virginia(11/2/2016)
RR
Wisconsin(10/21/2016)
RR
Wyoming(10/21/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BAIN CAPITAL MARKETS, LLC
BAIN CAPITAL DISTRIBUTORS, LLC | ST. JAMES FUND DISTRIBUTORS, LLC | BAIN CAPITAL MARKETS, LLC
CRD#: 175456 / SEC#: , 8-69599
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
200 Clarendon Street, Boston, MA 02116
Mailing Address
200 Clarendon Street, Boston, MA 02116
Phone number
(617) 516-2318
Established
Delaware since 02/03/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BAIN CAPITAL MARKETS, LLC
CRD#: 175456Boston, MA 02116TRUST BUT VERIFY
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