Kathleen 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.
Kathleen F Sullivan, who also goes by Kathleen Frances Sullivan, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1999. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - May 21, 2018
CREDIT SUISSE SECURITIES (USA) LLC
December 14, 2012 - September 18, 2015
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
January 1, 2010 - September 17, 2015
UBS FINANCIAL SERVICES INC.
May 18, 2004 - January 1, 2010
UBS INTERNATIONAL INC.
July 1, 2003 - May 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 12, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 23, 1999 - April 3, 2001
W.J. NOLAN & COMPANY, 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
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
