Walter 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.
Walter Edward Sullivan JR was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1970. Walter had worked at 16 firms and has passed the Series 63, Series 1, Series 26 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
November 15, 1989 - February 28, 2002
AMERITAS INVESTMENT COMPANY, LLC
March 8, 1989 - July 22, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
May 25, 1988 - January 25, 1989
NATIONSBANC SECURITIES OF GEORGIA, INC.
May 21, 1985 - February 4, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 1985 - April 1, 1985
BANKERS INTERNATIONAL SECURITIES, INC.
December 18, 1984 - December 31, 1984
BANKERS INTERNATIONAL SECURITIES, INC.
February 10, 1984 - November 2, 1984
SAXON SECURITIES INC.
April 21, 1982 - December 21, 1982
TRANSAMERICA CAPITAL, LLC
March 18, 1980 - January 31, 1981
A. G. EDWARDS & SONS, INC.
December 6, 1976 - November 15, 1979
SENTRY EQUITY SERVICES, INC.
November 25, 1974 - July 12, 1975
TOWER SQUARE SECURITIES, INC.
February 5, 1974 - May 18, 1974
LEEDY WHELLER & ALLENMAN INCORPORATED
July 3, 1973 - December 9, 1974
RYAN BECK & CO.
January 23, 1973 - May 6, 1973
LADENBURG THALMANN & CO. INC.
October 22, 1971 - February 9, 1973
HAVENFIELD CORPORATION
April 27, 1971 - December 1, 1971
LEHMAN BROTHERS INCORPORATED
September 1, 1970 - July 19, 1972
BUTLERS SECURITIES, INC.
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: 7/17/1961
Registered Representative ExaminationSeries 00
Date: 8/27/1970
General Securities Principal ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
