Timothy E. 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.
Timothy Eugene Sullivan was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1970. Timothy had worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2005 - December 3, 2015
REGAL SECURITIES, INC.
October 1, 2002 - May 17, 2005
NATIONAL SECURITIES CORPORATION
August 6, 1990 - October 1, 2002
LISS FINANCIAL SERVICES
November 26, 1979 - August 21, 1990
LEHMAN BROTHERS INC.
December 11, 1978 - November 26, 1979
LOEB PARTNERS
February 24, 1978 - January 7, 1979
MORGAN STANLEY DW INC.
May 17, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
August 27, 1976 - June 28, 1977
BACHE HALSEY STUART INC.
April 7, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 1, 1973 - May 4, 1975
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 2, 1970 - June 25, 1973
F I DUPONT GLORE FORGAN & CO
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 1
Date: 11/18/1966
Registered Representative ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
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