Shawn M. 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.
Shawn Michael Sullivan was a registered financial advisor .
Shawn is a previously registered financial advisor and started their career in finance in 1992. Shawn had worked at 6 firms and has passed the Series 63, 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
January 22, 2015 - September 10, 2015
AGES FINANCIAL SERVICES, LTD.
February 13, 2014 - November 6, 2014
INVESTORS CAPITAL CORP.
May 21, 2009 - October 19, 2012
DEUTSCHE BANK SECURITIES INC.
March 26, 2004 - June 3, 2009
UBS FINANCIAL SERVICES INC.
March 24, 2004 - June 3, 2009
UBS FINANCIAL SERVICES INC.
December 17, 2002 - January 13, 2004
MORGAN STANLEY DW INC.
September 25, 2000 - January 13, 2004
MORGAN STANLEY DW INC.
August 18, 1992 - October 4, 2000
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
