Peter A. 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.
Peter Arthur Sullivan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1998. Peter had worked at 5 firms and has passed the Series 63, 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 9, 2009 - March 13, 2012
CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.
October 16, 2006 - October 31, 2007
CARIS & COMPANY, INC.
October 20, 2004 - March 3, 2006
STANFORD GROUP COMPANY
January 31, 2002 - July 28, 2004
CANACCORD GENUITY SECURITIES LLC
August 6, 1998 - August 21, 2001
KAUFMAN BROS., 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: 12/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.
CRD#: 44054 / SEC#: , 8-50520
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
