Timothy C. Sullivan
Professional summary
Timothy Charles Sullivan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Timothy had worked at 7 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC, SII INVESTMENTS INC., THE RETIREMENT GROUP, SECURITIES SERVICE NETWORK LLC, FSC SECURITIES CORPORATION, ALAMO CAPITAL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2019 - December 12, 2023
INTERNATIONAL ASSETS ADVISORY, LLC
January 11, 2018 - December 12, 2023
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
September 3, 2008 - December 7, 2017
SII INVESTMENTS, INC.
September 2, 2008 - December 7, 2017
SII INVESTMENTS, INC.
November 7, 2007 - December 31, 2008
THE RETIREMENT GROUP
July 28, 2006 - September 2, 2008
SECURITIES SERVICE NETWORK, LLC
January 3, 2002 - August 28, 2006
THE RETIREMENT GROUP
January 7, 2000 - July 28, 2006
FSC SECURITIES CORPORATION
December 15, 1997 - January 25, 2000
ALAMO CAPITAL
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
