Michael P. 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.
Michael Peter Sullivan, who also goes by Mike P Sullivan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2014 - May 27, 2015
TSC DISTRIBUTORS, LLC
March 7, 2007 - November 7, 2012
EATON VANCE MANAGEMENT
November 30, 2000 - November 6, 2012
EATON VANCE DISTRIBUTORS, INC.
March 31, 2000 - October 2, 2000
COMMONWEALTH FINANCIAL NETWORK
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
Current Firm
TSC DISTRIBUTORS, LLC
CRD#: 37058 / SEC#: , 8-47579
Contact information
Documents
Disclosures
| Judgment/Lien | 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.
