Brian T. Osullivan

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CRD#: 1970546

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.

Brian Thomas Osullivan was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 30, 2014 - January 4, 2016

TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717

NEW YORK, NY

Past

January 3, 2011 - August 6, 2014

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

February 4, 2010 - January 6, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MELVILLE, NY

Past

April 17, 2009 - January 6, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

MELVILLE, NY

Past

January 27, 2009 - March 23, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

GARDEN CITY, NY

Past

April 30, 2007 - September 5, 2008

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

UNIONDALE, NY

Past

April 13, 2007 - May 17, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

CRD#: 23741

UNIONDALE, NY

Past

March 15, 1995 - February 26, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 2, 1992 - January 25, 1995

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/3/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/18/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/2001

General Securities Principal Examination

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

TIGRESS FINANCIAL PARTNERS LLC | TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717 / SEC#: 801-112815, 8-68671

RIA

Registered Investment Advisory firm - SEC (2/21/2024 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/2/2025 Approved)

New York

Registered Investment Advisory firm - SEC (4/27/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/15/2023 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

410 Park Avenue 12th Floor, New York, NY 10022

Mailing Address

410 Park Avenue 12th Floor, New York, NY 10022

Phone number

(212) 430-8750

Established

Delaware since 05/26/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TIGRESS HOLDINGS LLC	MAJORITY OWNER
CHEN, CHIASHIN NMN	CHIEF COMPLIANCE OFFICER	2992660
DIBARTOLO, CYNTHIA DENISE	CHIEF EXECUTIVE OFFICER	2413494
MARRONE, MICHAEL THOMAS	PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP	4859949

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 11,558,041

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Brian T. Osullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NOMURA SECURITIES INTERNATIONAL, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE CORPORATE SECURITIES & CO

CITIGROUP GLOBAL MARKETS INC.

BNY MELLON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2009

Series 63

Date: 2/20/1992

SIE

Date: 1/4/2016

Series 55

Date: 5/3/1999

Series 7

Date: 7/18/1994

Series 6

Date: 2/27/1992

Series 24

Date: 12/17/2001

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

TIGRESS FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

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