Daniel 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.
Daniel Francis Sullivan was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 8 firms and has passed the Series 63, SIE, Series 55, 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
May 20, 2014 - November 28, 2014
BEDMINSTER FINANCIAL GROUP, LIMITED
July 19, 2013 - January 21, 2014
FULCRUM SECURITIES, LLC
August 13, 2012 - July 27, 2013
EMERGING GROWTH EQUITIES, LTD.
May 23, 2011 - July 23, 2012
CV BROKERAGE, INC
April 19, 2010 - May 23, 2011
FIRST MIDWEST SECURITIES, INC.
January 22, 2007 - April 19, 2010
JHS CAPITAL ADVISORS, LLC
January 30, 2004 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
May 4, 1993 - October 6, 2003
NAVILLUS SECURITIES, 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 55
Date: 8/16/2002
Limited Representative-Equity Trader ExamCurrent Firm
BEDMINSTER FINANCIAL GROUP, LIMITED
CRD#: 39916 / SEC#: , 8-48909
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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