Peter 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.
Peter Jared Sullivan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1990. Peter had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2014 - March 17, 2015
FORESIDE FUND SERVICES, LLC
August 22, 2014 - November 6, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
July 5, 2013 - July 31, 2014
INNOVATION PARTNERS LLC
September 14, 2010 - October 30, 2012
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
July 13, 2010 - August 31, 2010
PACER ADVISORS, INC.
July 8, 2010 - August 31, 2010
PACER FINANCIAL, INC.
January 1, 2010 - June 5, 2010
INVESCO ADVISERS, INC.
June 2, 2002 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
July 16, 1998 - June 5, 2010
INVESCO DISTRIBUTORS, INC.
September 16, 1991 - May 27, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
January 2, 1991 - September 13, 1991
FIDELITY DISTRIBUTORS CORPORATION
July 9, 1990 - December 31, 1990
FIDELITY DISTRIBUTORS COMPANY LLC
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
