Daniel E. Sullivan
Professional summary
Daniel Erich Sullivan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Daniel had worked at 6 firms, which includes B. RILEY WEALTH MANAGEMENT, CHAPDELAINE TULLETT PREBON LLC, BGC FINANCIAL L.P., GFI SECURITIES LLC, W.A. CAPITAL MARKETS, S. B. CANTOR & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2011 - January 23, 2017
B. RILEY WEALTH MANAGEMENT
March 10, 2010 - June 27, 2011
CHAPDELAINE TULLETT PREBON, LLC
April 16, 2007 - February 26, 2010
BGC FINANCIAL, L.P.
April 2, 2004 - March 19, 2007
GFI SECURITIES LLC
November 25, 2002 - January 20, 2004
W.A. CAPITAL MARKETS
July 19, 2002 - November 15, 2002
S. B. CANTOR & CO., INC.
August 9, 2001 - April 25, 2002
S. B. CANTOR & CO., 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
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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