Sean P. 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.
Sean Patrick Sullivan was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2003. Sean had worked at 3 firms and has passed the Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2009 - February 12, 2010
ECHOTRADE LLC
May 9, 2006 - February 12, 2007
ECHOTRADE LLC
July 14, 2004 - July 28, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
January 13, 2003 - June 10, 2003
REDWOOD TRADING, LLC
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 62
Date: 1/10/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
ECHOTRADE LLC
CRD#: 42239 / SEC#: , 8-49764
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
