Thomas E. 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.
Thomas Edward Sullivan, who also goes by Tom Sullivan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 10 firms and has passed the Series 66, SIE, Series 79 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
June 26, 2019 - May 6, 2022
ACKRELL CAPITAL, LLC
September 30, 2015 - May 6, 2019
PIPER SANDLER & CO.
September 6, 2013 - September 29, 2015
RIVER BRANCH CAPITAL LLC
April 19, 2011 - September 12, 2013
FOCUSPOINT PRIVATE CAPITAL GROUP
December 10, 2010 - March 11, 2011
ADVANCED EQUITIES, INC.
July 21, 2010 - March 11, 2011
ADVANCED EQUITIES, INC.
November 3, 2000 - December 31, 2008
CREDIT SUISSE SECURITIES (USA) LLC
April 17, 1998 - September 20, 2002
PERSHING LLC
March 2, 1998 - May 1, 1998
RBC CAPITAL MARKETS, LLC
October 6, 1995 - March 2, 1998
DAIN RAUSCHER INCORPORATED
December 8, 1994 - June 5, 1995
PIPER SANDLER & CO.
January 12, 1993 - September 15, 1994
MONTGOMERY SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
ACKRELL CAPITAL, LLC
CRD#: 129847 / SEC#: , 8-66265
Contact information
Documents
Red Flags
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