Kathleen F Sullivan
Professional Summary
Kathleen F Sullivan, who also goes by Kathleen Frances Sullivan, was a registered financial advisor. Kathleen was a previously registered financial professional and started their career in finance 1999 - 2018. Kathleen had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 26, Series 4, Series 14, Series 9, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathleen Frances Sullivan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
CREDIT SUISSE FIRST BOSTON | CS FIRST BOSTON CORPORATION | CREDIT SUISSE SECURITIES (USA) LLC | CREDIT SUISSE SECURITIES | CREDIT SUISSE FIRST BOSTON LLC | CREDIT SUISSE FIRST BOSTON CORPORATION
Contact Information
Main Address
11 Madison Avenue, New York, NY 10010Mailing Address
11 Madison Avenue 9th Floor, New York, NY 10010Phone Number
(212) 325-2000Established
Delaware since 01/17/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
39Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
20AUM (Assets Under Management)
$805,275,346Disclosures
Regulatory Event
336Civil Event
8Arbitration
10Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | Cover Page | Report |
| 10/26/2023 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 2002About the Series 26 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2000About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2000About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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