Eric L. 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.
Eric Lee Sullivan was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2004. Eric had worked at 5 firms and has passed the Series 63, 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
April 27, 2017 - January 9, 2019
DALMORE GROUP LLC
November 25, 2015 - November 10, 2016
DINOSAUR FINANCIAL GROUP, L.L.C
June 26, 2012 - November 25, 2015
OLSON, CROSS & ALAMO LLC
September 11, 2009 - June 29, 2012
JOHN THOMAS FINANCIAL
June 11, 2004 - October 7, 2009
E1 ASSET MANAGEMENT, 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
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
