Frank 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.
Frank Sullivan was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 6 firms and has passed the Series 63 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
September 21, 2004 - September 27, 2004
BROOKVILLE CAPITAL PARTNERS
February 23, 2004 - July 2, 2004
LH ROSS & COMPANY, INC.
August 23, 2002 - December 20, 2002
CONTINENTAL BROKER-DEALER CORP.
June 25, 2002 - July 5, 2002
HARRISON SECURITIES, INC.
May 28, 2002 - July 18, 2002
JOSEPH STEVENS & CO., INC.
November 27, 2001 - June 26, 2002
CONTINENTAL BROKER-DEALER CORP.
May 18, 2000 - September 25, 2001
LADENBURG CAPITAL MANAGEMENT INC.
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
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
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.
