Christopher L. 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.
Christopher L Sullivan was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 6 firms and has passed the Series 63, SIE, Series 3, 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
October 1, 2019 - March 18, 2020
MKM PARTNERS LLC
August 22, 2014 - May 8, 2019
SG AMERICAS SECURITIES, LLC
August 22, 2011 - July 31, 2014
CITIGROUP GLOBAL MARKETS INC.
August 4, 2004 - July 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 11, 2004 - July 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1998 - February 24, 2004
BANC OF AMERICA SECURITIES LLC
November 29, 1997 - August 4, 1998
SALOMON BROTHERS INC.
March 30, 1994 - August 4, 1998
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 3/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
MKM PARTNERS LLC
CRD#: 114666 / SEC#: , 8-53436
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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