David C. Sullivan
Professional summary
David Christopher Sullivan, who also goes by David Sullivan, is a registered financial professional currently at SHANNON ADVISORS LLC located in Summit, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Christopher Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 22, 2013 - Present
SHANNON ADVISORS LLC
Office #1: 382 Springfield Ave, Suite 410, Summit, NJ 07901August 14, 2003 - January 11, 2013
CREDIT SUISSE SECURITIES (USA) LLC
July 30, 2002 - April 29, 2003
DEUTSCHE BANK SECURITIES INC.
February 18, 1998 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 1997 - February 9, 1998
CITIGROUP GLOBAL MARKETS INC.
August 24, 1994 - February 9, 1998
SALOMON BROTHERS 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
(3/22/2013)
Exams
FINRA
Current Firm
SHANNON ADVISORS LLC
CRD#: 150305 / SEC#: , 8-68243
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANNON ADVISORS LP | MEMBER | |
| OGARA, BRIAN TIMOTHY | CHIEF EXECUTIVE OFFICER, EXECUTIVE REP., CHIEF COMPLIANCE OFFICER, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 2640600 |
Red Flags
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