David J. Sullivan
Professional summary
David John Sullivan, who also goes by David J Sullivan, is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Charlotte, North Carolina and DFA SECURITIES LLC located in Charlotte, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David John Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2013 - Present
DIMENSIONAL FUND ADVISORS LP
Office #1: 1515 South Tryon Street, Charlotte, NC 28203May 31, 2013 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203February 14, 2012 - October 31, 2012
SPC
February 14, 2012 - October 31, 2012
SIGMA FINANCIAL CORPORATION
May 9, 2007 - February 3, 2012
M&T SECURITIES, INC.
May 8, 2007 - February 3, 2012
M&T SECURITIES, INC.
June 15, 2001 - March 26, 2007
T. ROWE PRICE ADVISORY SERVICES, INC.
November 22, 1999 - March 20, 2007
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
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.
