Dennis W. 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.
Dennis William Sullivan was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1993. Dennis had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2014 - December 10, 2014
QUESTAR ASSET MANAGEMENT, INC.
September 26, 2014 - February 9, 2018
QUESTAR CAPITAL CORPORATION
August 6, 2007 - October 2, 2014
NEXT FINANCIAL GROUP, INC.
July 30, 2007 - October 2, 2014
NEXT FINANCIAL GROUP, INC.
January 4, 2005 - July 13, 2007
INVESTORS CAPITAL CORP.
November 17, 1998 - July 13, 2007
INVESTORS CAPITAL CORP.
November 13, 1998 - December 31, 2004
EASTERN POINT ADVISORS INC.
February 3, 1998 - October 30, 1998
INVESTORS CAPITAL CORP.
March 26, 1993 - February 2, 1998
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
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