Michael J. Osullivan
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.
Michael John Osullivan, who also goes by Michael John O Sullivan, Michael John O'sullivan, Michael J Osullivan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - July 14, 2017
CITY NATIONAL ROCHDALE
August 14, 2015 - July 14, 2017
CNR SECURITIES, LLC
December 6, 2010 - November 22, 2011
LAMCO ADVISORY SERVICES INC.
December 19, 2007 - December 17, 2009
OSAIC SERVICES, INC.
January 17, 2006 - December 5, 2007
CERTIFIED ADVISORY CORP
January 13, 2006 - December 5, 2007
SIGNATURE ESTATE SECURITIES, LLC
July 1, 2002 - August 23, 2004
CBIZ FINANCIAL SOLUTIONS, INC.
December 18, 2001 - August 23, 2004
CBIZ FINANCIAL SOLUTIONS, INC.
April 12, 2000 - January 12, 2001
CHARLES SCHWAB & CO., INC.
July 10, 1996 - February 24, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
June 29, 1995 - June 17, 1996
ACUMENT SECURITIES, INC.
February 14, 1994 - December 8, 1994
BROWNCO, LLC
July 8, 1992 - October 8, 1992
JOSEPHTHAL & CO., INC.
March 26, 1992 - July 29, 1992
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
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
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
