Jennifer M. 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.
Jennifer Michelle Sullivan, who also goes by Jennie Michelle Sullivan, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2004. Jennifer had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2009 - October 31, 2014
WALL STREET FINANCIAL GROUP, INC.
November 2, 2009 - October 31, 2014
WALL STREET FINANCIAL GROUP, INC.
October 28, 2008 - October 23, 2009
INVESTACORP ADVISORY SERVICES INC
October 7, 2008 - October 22, 2009
INVESTACORP, INC.
August 2, 2004 - October 10, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
July 28, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 28, 2004 - October 10, 2008
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
