Darrin P. Sullivan
Professional summary
Darrin Patrick Sullivan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Darrin is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Darrin had worked at 3 firms, which includes WEST AMERICA SECURITIES CORP, W.J. NOLAN & COMPANY INC., STERLING FOSTER & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 1997 - October 30, 1997
WEST AMERICA SECURITIES CORP
April 24, 1997 - June 9, 1997
W.J. NOLAN & COMPANY, INC.
September 8, 1995 - March 4, 1997
STERLING FOSTER & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEST AMERICA SECURITIES CORP
CRD#: 35035 / SEC#: , 8-46494
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KAY, ROBERT BRIAN | PRESIDENT, CEO, CCO & FINOP | 1133657 |
| MID AMERICA CAPITAL CORP. | HOLDING COMPANY |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
Red Flags
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