David Christopher Sullivan
Professional Summary
David Christopher Sullivan, who also goes by David Sullivan, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Sullivan
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
Current Firm
SHANNON ADVISORS LLC
Contact Information
Main Address
272 E. Deerpath Road Suite 254, Lake Forest, IL 60045-5328Mailing Address
272 E. Deerpath Road Suite 254, Lake Forest, IL 60045-5328Phone Number
(847) 739-3208Established
Delaware since 03/11/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
State Registrations and Notice Filings
(3/22/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - BD
Click below to view David Christopher Sullivan's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
