David 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.
David John Sullivan, who also goes by David J Sullivan, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2015 - December 31, 2016
WINSLOW, EVANS & CROCKER, INC.
September 6, 2011 - January 30, 2015
J.P. MORGAN SECURITIES LLC
September 2, 2011 - January 30, 2015
J.P. MORGAN SECURITIES LLC
October 30, 2009 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 19, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 10, 2002 - October 26, 2007
RBC CAPITAL MARKETS, LLC
December 16, 1997 - May 24, 2002
UBS FINANCIAL SERVICES INC.
September 16, 1994 - December 12, 1997
JANNEY MONTGOMERY SCOTT LLC
July 31, 1993 - September 23, 1994
CITIGROUP GLOBAL MARKETS INC.
January 11, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
August 16, 1988 - January 16, 1990
A. G. EDWARDS & SONS, INC.
July 21, 1987 - August 29, 1988
CITIGROUP GLOBAL MARKETS 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
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 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.
