Thomas 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.
Thomas Joseph Sullivan JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1962. Thomas had worked at 8 firms and has passed the Series 41, Series 1 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
October 24, 1988 - February 27, 1989
FIRST AMERICAN CAPITAL RESOURCES, INC.
August 5, 1988 - October 18, 1988
HAPOALIM SECURITIES USA, INC.
July 14, 1988 - September 12, 1988
FIRST AMERICAN CAPITAL RESOURCES, INC.
January 31, 1982 - September 14, 1988
T.J. SULLIVAN & CO., INC.
February 15, 1978 - December 15, 1981
J. BUSH & CO., INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
July 27, 1972 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
February 8, 1972 - January 8, 1978
ROTAN MOSLE INC.
May 24, 1962 - March 8, 1972
G H WALKER & COMPANY INCORPORATED
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 41
Date: 5/4/1985
NYSE Allied Member ExaminationSeries 1
Date: 8/21/1960
Registered Representative ExaminationSeries 40
Date: 1/31/1974
Registered Principal ExaminationCurrent Firm
FIRST AMERICAN CAPITAL RESOURCES, INC.
CRD#: 16818 / SEC#: , 8-34581
Contact information
Documents
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.
