William P. Osullivan
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.
William Patrick Osullivan was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 9 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 1988 - December 24, 1992
LEHMAN BROTHERS INC.
June 9, 1980 - December 27, 1981
THOMSON MCKINNON SECURITIES INC.
January 2, 1980 - November 10, 1987
PHILIPS, APPEL & WALDEN, INC.
January 1, 1980 - November 30, 1983
CITIGROUP GLOBAL MARKETS INC.
May 2, 1977 - May 14, 1988
E. F. HUTTON & COMPANY INC
January 18, 1977 - May 21, 1977
ADVEST, INC.
November 3, 1976 - February 24, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
September 11, 1974 - October 7, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 25, 1974 - August 3, 1974
WEEDEN & CO.
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 1
Date: 3/21/1974
Registered Representative ExaminationCurrent Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
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.
