Michael C. Sullivan
Professional summary
Michael Chestlley Sullivan, who also goes by Michael Chestley Sullivan, Michael Sullivan, is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 12 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Chestlley Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2023 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018May 24, 2022 - August 11, 2023
PATRICK CAPITAL MARKETS, LLC
April 19, 2021 - February 16, 2022
ADVISORS ASSET MANAGEMENT, INC.
November 3, 2020 - March 23, 2021
WELLESLEY ASSET MANAGEMENT, INC.
October 2, 2020 - April 1, 2021
FORESIDE FUND SERVICES, LLC
May 28, 2014 - August 20, 2020
HENNION & WALSH, INC.
June 8, 2011 - June 3, 2013
ATEL SECURITIES CORPORATION
April 4, 2011 - June 9, 2011
WNC CAPITAL CORPORATION
December 10, 2010 - February 10, 2011
PRIORITY CAPITAL INVESTMENTS, LLC
December 10, 2002 - September 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2002 - September 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 2000 - May 14, 2001
CHARLES SCHWAB & CO., INC.
August 2, 1999 - October 7, 1999
MERRIMAN CAPITAL, INC.
May 19, 1998 - April 6, 1999
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2025)
(8/2/2023)
(8/2/2023)
(8/2/2023)
(8/2/2023)
(1/2/2025)
(8/2/2023)
Exams
FINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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