Michael A. 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.
Michael Anthony Sullivan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2005 - April 4, 2014
AMHERST SECURITIES GROUP, L.P.
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
AMHERST SECURITIES GROUP, L.P.
CRD#: 31141 / SEC#: , 8-45364
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMHERST ASG HOLDINGS LLC | HOLDING COMPANY | |
| ASG GENERAL PARTNER, INC. | GENERAL PARTNER | |
| BARTKOWIAK, DARLA KERLEE | CHIEF COMPLIANCE OFFICER/DIRECTOR | 1065868 |
| BROWNE, KEVIN JAMES | SVP/FINOP | 1304129 |
| COALE, STEPHEN LORING | DIRECTOR | 1292536 |
| DOBSON, SEAN ALAN | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2009497 |
| MULLANEY, RICHARD RYAN JR | DIRECTOR | 1229830 |
| WALSH, JOSEPH NORTON III | PRESIDENT/DIRECTOR | 2804671 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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