PS
Peter A. Sullivan
VOYA INVESTMENTS DISTRIBUTOR
NEW YORK, NY 10169
Some features on this profile are disabled
CRD#: 4546425
PS
Professional summary
Peter Andrew Sullivan is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2003. Peter has worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Peter Andrew Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 4, 2022 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 200 Park Avenue, New York, NY 10169BD
CRD#: 37886
NEW YORK, NY
Past
September 27, 2005 - October 3, 2022
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
SAN FRANCISCO, CA
Past
June 19, 2003 - June 11, 2008
RCM DISTRIBUTORS LLC
BD
CRD#: 120500
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/4/2022)
RR
Alaska(10/4/2022)
RR
Arizona(10/4/2022)
RR
Arkansas(10/4/2022)
RR
California(10/4/2022)
RR
Colorado(10/4/2022)
RR
Connecticut(10/4/2022)
RR
Delaware(10/4/2022)
RR
District of Columbia(10/4/2022)
RR
Florida(10/4/2022)
RR
Georgia(10/4/2022)
RR
Hawaii(10/4/2022)
RR
Idaho(10/4/2022)
RR
Illinois(10/4/2022)
RR
Indiana(10/4/2022)
RR
Iowa(10/4/2022)
RR
Kansas(10/4/2022)
RR
Kentucky(10/4/2022)
RR
Louisiana(10/4/2022)
RR
Maine(10/4/2022)
RR
Maryland(10/4/2022)
RR
Massachusetts(10/4/2022)
RR
Michigan(10/4/2022)
RR
Minnesota(10/4/2022)
RR
Mississippi(10/4/2022)
RR
Missouri(10/4/2022)
RR
Montana(10/4/2022)
RR
Nebraska(10/4/2022)
RR
Nevada(10/4/2022)
RR
New Hampshire(10/4/2022)
RR
New Jersey(10/4/2022)
RR
New Mexico(10/4/2022)
RR
New York(10/4/2022)
RR
North Carolina(10/4/2022)
RR
North Dakota(10/4/2022)
RR
Ohio(10/4/2022)
RR
Oklahoma(10/4/2022)
RR
Oregon(10/4/2022)
RR
Pennsylvania(10/4/2022)
RR
Puerto Rico(10/4/2022)
RR
Rhode Island(10/4/2022)
RR
South Carolina(10/4/2022)
RR
South Dakota(10/4/2022)
RR
Texas(10/4/2022)
RR
Utah(10/4/2022)
RR
Vermont(10/4/2022)
RR
Virgin Islands(10/4/2022)
RR
Virginia(10/4/2022)
RR
Washington(10/4/2022)
RR
West Virginia(10/4/2022)
RR
Wisconsin(10/4/2022)
RR
Wyoming(10/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
