Michael 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.
Michael Abely Sullivan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 5 firms and has passed the Series 63, Series 65, Series 7, Series 53 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
August 4, 2021 - September 26, 2024
UMERGENCE LLC
September 2, 2020 - March 11, 2021
DEMOPOLIS CAPITAL INC.
March 3, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
August 24, 2004 - August 27, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2002 - August 27, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2001 - June 5, 2002
TMC BONDS L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UMERGENCE LLC
CRD#: 284368 / SEC#: , 8-69801
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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