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Shawn J. Sullivan

Some features on this profile are disabled
CRD#: 2025481
SS

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.

Shawn Joseph Sullivan was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1990. Shawn had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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

June 14, 2010 - October 28, 2015

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC

BD
CRD#: 151470
NEW YORK, NY
Past

May 15, 2001 - October 28, 2015

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

May 12, 1997 - May 14, 2001

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 15, 1993 - February 22, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 16, 1990 - May 20, 1997

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
RR
Series 63
Date: 8/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/24/2000
General Securities Principal Examination

Current Firm

CS
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC

CRD#: 151470 / SEC#: , 8-68376

BD
Terminated by SEC on 01/30/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/05/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CREDIT SUISSE (USA), INC.SOLE MEMBER
CURRAN, RICHARD JOHN SR.CHIEF OPERATING OFFICER4136136
FISHER, JOHN JOSEPHCHIEF COMPLIANCE OFFICER1588235
HARROP, THOMAS J.BOARD MEMBER4794173
JHAWAR, NEIRBOARD MEMBER5172109
LUPETIN, SERGIO JOSEPHCHIEF FINANCIAL OFFICER1221963
MORRIS, DAVID STAUNTONCHIEF EXECUTIVE OFFICER4827683
REED, SALLY OGENERAL COUNSEL4983901

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.

Company Information

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC

CRD#: 151470

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