Marcia A. 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.
Marcia Ann Sullivan was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 1993. Marcia had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2003 - December 31, 2004
ALLIANCE FINANCIAL SERVICES, INC.
August 8, 2002 - September 1, 2021
COMMONWEALTH FINANCIAL NETWORK
January 14, 1999 - September 1, 2021
COMMONWEALTH FINANCIAL NETWORK
November 1, 1994 - January 21, 1999
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 7, 1994 - November 29, 1995
VOYA FINANCIAL PARTNERS, LLC
September 23, 1993 - October 26, 1994
CONSECO EQUITY SALES, 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
No current employment
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.
