William T. 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.
William Thomas Sullivan JR, who also goes by Bill Sullivan Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 26 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
February 27, 2004 - August 22, 2019
PFM FUND DISTRIBUTORS, INC.
April 8, 1997 - April 30, 2002
RANGEMARK CAPITAL MARKETS, INC.
December 2, 1993 - June 20, 1997
CX, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 5/27/1971
Registered Principal ExaminationCurrent Firm
PFM FUND DISTRIBUTORS, INC.
CRD#: 114474 / SEC#: , 8-53496
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
