David E. Sullivan
Professional summary
David Earl Sullivan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, David had worked at 4 firms, which includes WORLDCO L.L.C., RUMSON CAPITAL LLC, PRUDENTIAL EQUITY GROUP LLC, FIRST ASSET MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2001 - March 26, 2002
WORLDCO, L.L.C.
May 17, 2000 - February 21, 2001
RUMSON CAPITAL, LLC
October 25, 1999 - November 29, 1999
WORLDCO, L.L.C.
November 29, 1997 - January 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1997 - October 14, 1997
FIRST ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 12/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
WORLDCO, L.L.C.
CRD#: 24673 / SEC#: , 8-41285
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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