Timothy 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.
Timothy John Sullivan, who also goes by Tim Sullivan, Timothy J Sullivan, Sullivan John Timothy John, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 9 firms and has passed the Series 63, Series 82TO, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2022 - June 6, 2023
B. RILEY WEALTH MANAGEMENT
February 8, 2022 - June 6, 2023
B. RILEY SECURITIES, INC.
September 6, 2019 - November 30, 2021
IMPERIAL CAPITAL, LLC
March 21, 2012 - June 3, 2013
JEFFERIES HIGH YIELD TRADING, LLC
June 8, 2011 - July 10, 2018
JEFFERIES LLC
December 17, 2009 - March 28, 2011
UBS SECURITIES LLC
June 1, 2009 - November 16, 2009
FM PARTNERS HOLDINGS LLC
March 30, 2004 - June 12, 2009
CREDIT SUISSE SECURITIES (USA) LLC
April 26, 2001 - March 31, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1994 - March 26, 2001
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
Series 82TO
Date: 4/17/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
