William P. 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.
William Peter Sullivan, who also goes by Wil Sullivan, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 10 firms and has passed the Series 63, Series 25, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2012 - November 6, 2012
TOPEKA CAPITAL MARKETS INC.
August 15, 2011 - March 22, 2012
AVIAN SECURITIES, LLC
May 16, 2011 - August 10, 2011
SSC NY CORP.
January 19, 2011 - May 17, 2011
DIRECT ACCESS PARTNERS LLC
September 8, 2003 - December 31, 2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
May 1, 2003 - September 5, 2003
KELLOGG CAPITAL GROUP LLC
June 1, 2001 - December 9, 2002
APEX CLEARING CORPORATION
May 14, 1997 - June 18, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 23, 1996 - May 9, 1997
TRADE-WELL DISCOUNT INVESTING, LLC.
August 17, 1995 - October 2, 1996
CHARLES SCHWAB & CO., 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
Series 25
Date: 3/2/2004
NYSE Trading Assistant ExaminationSeries 55
Date: 2/26/1999
Limited Representative-Equity Trader ExamCurrent Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
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