BS
Brian E. Sullivan
NATIONAL BANK OF CANADA FINANCIAL
New York, NY 10022
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CRD#: 2060721
BS
Professional summary
Brian Eric Sullivan is a registered financial professional currently at NATIONAL BANK OF CANADA FINANCIAL INC. located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1991. Brian has worked at 9 firms and has passed the Series 63, SIE and Series 7 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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Eric Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 10, 2018 - Present
NATIONAL BANK OF CANADA FINANCIAL INC.
Office #1: 65 East 55th Street 8th Floor, New York, NY 10022BD
CRD#: 22698
New York, NY
Past
January 14, 2013 - June 28, 2018
SANTANDER US CAPITAL MARKETS LLC
BD
CRD#: 150696
NEW YORK, NY
Past
April 16, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
BD
CRD#: 108424
NEW YORK, NY
Past
April 18, 2011 - April 11, 2012
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
November 1, 2004 - April 18, 2011
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
December 17, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
BD
CRD#: 112297
NEW YORK, NY
Past
September 7, 2001 - December 19, 2003
BNY MELLON SECURITIES LLC
BD
CRD#: 47268
JERSEY CITY, NJ
Past
January 26, 2001 - August 21, 2001
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
February 21, 1991 - November 29, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/10/2018)
RR
Alaska(7/10/2018)
RR
Arizona(7/10/2018)
RR
Arkansas(7/10/2018)
RR
California(7/10/2018)
RR
Colorado(7/10/2018)
RR
Connecticut(7/10/2018)
RR
Delaware(7/10/2018)
RR
District of Columbia(7/10/2018)
RR
Florida(7/10/2018)
RR
Georgia(7/10/2018)
RR
Hawaii(7/10/2018)
RR
Idaho(7/10/2018)
RR
Illinois(7/10/2018)
RR
Indiana(7/10/2018)
RR
Iowa(7/10/2018)
RR
Kansas(7/10/2018)
RR
Kentucky(7/10/2018)
RR
Louisiana(7/10/2018)
RR
Maine(7/10/2018)
RR
Maryland(7/10/2018)
RR
Massachusetts(7/10/2018)
RR
Michigan(7/10/2018)
RR
Minnesota(7/10/2018)
RR
Mississippi(7/10/2018)
RR
Missouri(7/10/2018)
RR
Montana(7/10/2018)
RR
Nebraska(7/10/2018)
RR
Nevada(7/10/2018)
RR
New Hampshire(7/10/2018)
RR
New Jersey(7/10/2018)
RR
New Mexico(7/10/2018)
RR
New York(7/10/2018)
RR
North Carolina(7/11/2018)
RR
North Dakota(7/10/2018)
RR
Ohio(7/10/2018)
RR
Oklahoma(7/10/2018)
RR
Oregon(7/10/2018)
RR
Pennsylvania(7/10/2018)
RR
Puerto Rico(7/10/2018)
RR
Rhode Island(7/10/2018)
RR
South Carolina(7/10/2018)
RR
South Dakota(7/10/2018)
RR
Tennessee(7/10/2018)
RR
Texas(7/10/2018)
RR
Utah(7/10/2018)
RR
Vermont(7/10/2018)
RR
Virginia(7/10/2018)
RR
Washington(7/10/2018)
RR
West Virginia(7/10/2018)
RR
Wisconsin(7/10/2018)
RR
Wyoming(7/10/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NB
NATIONAL BANK OF CANADA FINANCIAL INC.
NATIONAL BANC FINANCIAL INC. | PUTNAM, LOVELL, DE GUARDIOLA & THORNTON INC. | PUTNAM, LOVELL & THORNTON INC. | PUTNAM LOVELL SECURITIES INC. | PUTNAM LOVELL NBF SECURITIES INC. | PUTNAM LOVELL NBF | NATIONAL BANK OF CANADA FINANCIAL INC.
CRD#: 22698 / SEC#: , 8-39947
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
65 East 55th Street 8th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022
Phone number
(212) 546-7500
Established
Delaware since 06/01/1987
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF CANADA FINANCIAL GROUP INC. | SHAREHOLDER | |
| BONDY, TODD RICHARD | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2526622 |
| DONNELLY, MICHAEL PATRICK | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2530195 |
| DUBUC, ETIENNE | CHAIRMAN OF BOARD, EQUITIES SALES SUPERVISOR | 6628432 |
| GRABOVSKY, YURI | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, AND FINOP | 4149242 |
| HEALEY, SEAN CHRISTOPHER | PRESIDENT, CEO, CTO, MANAGING DIRECTOR, GLOBAL SECURITIES FINANCE, REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL | 3218329 |
| HOOD, ANDREW PETER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 3008883 |
| KATCHOUNI, ALAIN | MANAGING DIRECTOR AND HEAD OF EQUITIES | 4863032 |
| LOCAS, YVES JOSEPH | MANAGING DIRECTOR, HEAD OF U.S. DEBT SYNDICATION | 6038023 |
| MCENTYRE, PATRICK MICHAEL | MANAGING DIRECTOR, INSTITUTIONAL EQUITY ELECTRONIC TRADING AND SERVICES | 4420353 |
| MCGOWAN, KATIE MARIE | CHIEF COMPLIANCE OFFICER | 5111849 |
| MILLER, ROBERT DENNIS | MANAGING DIRECTOR, HEAD OF U.S. DEBT CAPITAL MARKETS | 2991181 |
| PETITTO, LOUIS ROBERT | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 6449700 |
Disclosures
| Regulatory Event | 10 |
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.
