Tammy N. Sullivan
Professional summary
Tammy Naughton Sullivan, who also goes by Tammy Naughton, Tammy Naughton Sullivan, is a registered financial professional currently at RCM SECURITIES located in Chicago, Illinois.
Tammy is registered as a RR (Registered Representative) and started their career in finance in 2003. Tammy has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tammy Naughton Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2018 - Present
RCM SECURITIES
Office #1: 318 W Adams St Floor 10, Chicago, IL 60606Office #2: 318 W Adams, Floor 10, Chicago, IL 60606June 7, 2013 - September 18, 2017
DAVIS SECURITIES LLC
September 3, 2003 - October 11, 2011
MF GLOBAL 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
(1/19/2018)
(6/15/2018)
Exams
FINRA
Current Firm
RCM SECURITIES
CRD#: 15548 / SEC#: , 8-33866
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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