Lawrence P. 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.
Lawrence Patrick Sullivan, who also goes by Larry Sullivan, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1988. Lawrence had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2015 - August 31, 2020
LION STREET ADVISORS, LLC
May 18, 2015 - August 31, 2020
LION STREET FINANCIAL, LLC
May 25, 2004 - May 21, 2015
PARK AVENUE SECURITIES LLC
February 17, 2004 - May 21, 2015
PARK AVENUE SECURITIES LLC
May 23, 2002 - February 11, 2004
WALNUT STREET ADVISERS INC
May 23, 1988 - February 5, 2004
WALNUT STREET SECURITIES, INC.
March 14, 1988 - June 20, 1988
ASSOCIATED FINANCIAL SERVICES, 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
LION STREET ADVISORS, LLC
CRD#: 167610 / SEC#: 801-107414
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7,668 |
| AUM (Assets Under Management) | $ 3,177,363,713 |
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.
