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KS

Kathleen P. Sullivan

GRV SECURITIES LLC
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 5099521
KS

Professional summary

Kathleen Patricia Sullivan, who also goes by Katie Patricia Sullivan, is a registered financial professional currently at GRV SECURITIES LLC located in Chicago, Illinois.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2010. Kathleen has worked at 1 firm and has passed the SIE, Series 99TO and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katie Patricia Sullivan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathleen Patricia Sullivan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 7, 2010 - Present

GRV SECURITIES LLC

Office #1: 900 North Michigan Avenue, Suite 1100, Chicago, IL 60611
BD
CRD#: 138348
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/6/2010
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC

CRD#: 138348 / SEC#: , 8-67160

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GCM GROSVENOR L.P.SOLE MEMBER108654
DANIEL, DAWNA LYNNECHIEF COMPLIANCE OFFICER5137048
HENRICH, DIANNA LEAMANAGING DIRECTOR4695780
MONTGOMERY, BURKE JOHNSONGENERAL COUNSEL5067591
SACKS, MICHAEL JAYMANAGER/CHIEF EXECUTIVE OFFICER2077424
SULLIVAN, KATHLEEN PATRICIAFINANCIAL AND OPERATIONS PRINCIPAL5099521

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.

Company Information

GRV SECURITIES LLC

CRD#: 138348Chicago, IL 60611

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