Daniel J. 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.
Daniel Joseph Sullivan JR, who also goes by Daniel Joseph Sullivan, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1966. Daniel had worked at 2 firms and has passed the Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1973 - June 18, 2014
LOYAL3 SECURITIES INC.
November 3, 1966 - December 1, 1972
ALBERT PARE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 10/31/1966
Registered Representative ExaminationSeries 00
Date: 1/18/1972
General Securities Principal ExaminationCurrent Firm
LOYAL3 SECURITIES INC.
CRD#: 6380 / SEC#: , 8-17277
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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