Peter B. 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.
Peter Beebe Sullivan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 6 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 9, Series 10 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2009 - January 9, 2014
UBS FINANCIAL SERVICES INC.
November 20, 2001 - July 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2001 - July 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 1994 - November 13, 2001
ENSEMBLE FINANCIAL SERVICES, INC.
June 18, 1992 - March 8, 1994
DUNHILL EQUITIES, INC.
September 26, 1978 - May 29, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 18, 1972 - May 22, 1974
HUGH JOHNSON & COMPANY INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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 15
Date: 12/11/1987
Foreign Currency Options ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 7/13/1972
Registered Representative ExaminationSeries 40
Date: 3/15/1977
Registered Principal ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
