Mortimer 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.
Mortimer Joseph Sullivan, who also goes by Mj Sullivan III, Mortimer Joseph Sullivan III, was a registered financial professional .
Mortimer is a previously registered financial professional and started their career in finance in 1987. Mortimer had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2018 - June 24, 2019
DINOSAUR FINANCIAL GROUP, L.L.C
January 28, 2016 - October 31, 2017
REVERE SECURITIES LLC
October 1, 2012 - March 31, 2016
BURNHAM SECURITIES INC.
January 18, 2007 - September 25, 2012
GLICKENHAUS & CO.
May 31, 1995 - September 25, 2012
GLICKENHAUS & CO.
June 1, 1993 - August 9, 1993
CLAYTON BROWN & ASSOCIATES, INC.
December 22, 1987 - February 10, 1988
HAMILTON, GRANT & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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