Gregory K. 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.
Gregory Kennedy Sullivan, who also goes by Greg Sullivan, Gregory Sullivan, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1992. Gregory had worked at 12 firms and has passed the Series 63, Series 52TO, 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
November 1, 2018 - October 6, 2025
RIALTO MARKETS LLC
February 11, 2015 - March 1, 2018
OPENBONDX LLC
October 1, 2012 - September 22, 2014
ITB SECURITIES, LLC
September 22, 2011 - May 23, 2012
BONDS.COM LLC
August 23, 2010 - July 7, 2011
RBC CAPITAL MARKETS, LLC
April 14, 2010 - August 4, 2010
MORGAN JOSEPH TRIARTISAN LLC
October 9, 2009 - March 15, 2010
BTIG, LLC
March 5, 2003 - June 11, 2008
MCMAHAN SECURITIES CO. L.P.
August 28, 1997 - March 3, 2003
LEHMAN BROTHERS INC.
February 3, 1995 - February 15, 1996
CIBC WORLD MARKETS CORP.
January 28, 1995 - April 21, 1995
UBS FINANCIAL SERVICES INC.
October 7, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 7, 1992 - October 2, 1992
LEHMAN BROTHERS 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
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
RIALTO MARKETS LLC
CRD#: 283477 / SEC#: , 8-69756
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
