Margaret J. 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.
Margaret Jeane Sullivan, who also goes by Maggie Sullivan, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1998. Margaret had worked at 6 firms and has passed the Series 63, Series 66, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2009 - September 30, 2013
LIQUIDNET, INC.
October 23, 2007 - March 3, 2008
NYFIX MILLENNIUM, L.L.C.
June 12, 2002 - December 6, 2002
A. G. EDWARDS & SONS, INC.
May 15, 2002 - December 6, 2002
A. G. EDWARDS & SONS, INC.
November 10, 2000 - August 28, 2001
TAFFERER TRADING, LLC
January 1, 1999 - September 28, 2000
SUMMIT TRADING, INC.
February 5, 1998 - November 11, 1998
PROTRADER SECURITIES L.P.
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 55
Date: 9/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
