Thomas D. 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.
Thomas Darrell Sullivan, who also goes by Sully Sullivan, Tom Sullivan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 7 firms and has passed the Series 63, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 1998 - December 31, 1998
AMERICAN INVESTMENT SERVICES, INC.
March 6, 1990 - July 25, 1996
AHART & BRYAN, INC.
July 6, 1984 - February 22, 1990
BRYAN, WORLEY & CO., INC.
September 10, 1982 - May 17, 1984
PARK, RYAN, INC.
April 15, 1982 - July 27, 1982
SALLIE & COMPANY, INC.
July 29, 1980 - October 29, 1981
PARHAM & COMPANY, INC.
November 6, 1978 - October 29, 1984
BRITTENUM & ASSOCIATES, 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
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
