Michael 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.
Michael John Sullivan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 4 firms and has passed the Series 63, Series 7TO, Series 3, 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
July 16, 2019 - November 16, 2021
ZANBATO SECURITIES LLC
April 29, 2003 - December 31, 2008
BLACKROCK EXECUTION SERVICES
June 18, 1998 - November 10, 1998
BNP PARIBAS BROKERAGE SERVICES, INC.
October 30, 1992 - March 28, 1995
LINCOLN INVESTMENT
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
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationCurrent Firm
ZANBATO SECURITIES LLC
CRD#: 279028 / SEC#: , 8-69654
Contact information
FINRA licenses (41 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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