Cornelius J. Sullivan
Professional summary
Cornelius Joseph Sullivan, who also goes by Neal Sullivan, is a registered financial advisor currently at VISION 4 FUND DISTRIBUTORS located in Scottsdale, Arizona.
Cornelius is registered as a RR (Registered Representative) and started their career in finance in 1990. Cornelius has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cornelius Joseph Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 8, 2018 - Present
VISION 4 FUND DISTRIBUTORS
Office #1: 9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260May 31, 2017 - February 27, 2019
FIRST DOMINION CAPITAL CORP.
July 28, 2011 - December 31, 2016
TSC DISTRIBUTORS, LLC
August 29, 2008 - August 4, 2009
EATON VANCE MANAGEMENT
November 13, 2006 - July 17, 2008
EATON VANCE MANAGEMENT
March 10, 1995 - August 4, 2009
EATON VANCE DISTRIBUTORS, INC.
December 10, 1990 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
VISION 4 FUND DISTRIBUTORS
CRD#: 298105 / SEC#: , 8-70175
Contact information
FINRA licenses (27 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARD, DAVID WAYNE | MANAGING DIRECTOR | 722647 |
| JOHNSON, HENRY P | MANAGING DIRECTOR | 5559118 |
| KUJALOWICZ, PAUL EDWARD | PRESIDENT/MANAGING DIRECTOR | 1020049 |
| SULLIVAN, CORNELIUS JOSEPH | MANAGING DIRECTOR | 2094448 |
| VAINISI, JEROME ARTHUR | CHIEF EXECUTIVE OFFICER | 2011056 |
| FOSTER, TODD MICHAEL | PASSIVE MEMBER | 3024634 |
| GREER, JOHN WILLIAM | PASSIVE MEMBER | 6148298 |
| LEE, BRYAN MATTHEW | PASSIVE MEMBER | 4779819 |
| QUALTERS, DONALD P | PASSIVE MEMBER | 3184519 |
| DAVIS, TAYLOR RENEE | CHIEF COMPLIANCE OFFICER | 5384424 |
| PORTWOOD, WILLIAM BOYCE | CHIEF FINANCIAL OFFICER/FINOP/PFO/POO | 4853700 |
Red Flags
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