Robert F. 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.
Robert F Sullivan, who also goes by Robert Francis Sullivan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3 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
September 28, 2017 - November 8, 2017
TD AMERITRADE, INC.
August 20, 2008 - April 20, 2017
LPL FINANCIAL LLC
August 20, 2008 - April 20, 2017
LPL FINANCIAL LLC
June 7, 2007 - August 1, 2008
EDWARD JONES
January 17, 2006 - August 1, 2008
EDWARD JONES
March 9, 2004 - November 25, 2005
NEWEDGE FINANCIAL INC.
June 10, 1992 - March 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
