Steven Michael Sullivan
Professional Summary
Steven Michael Sullivan is a registered financial advisor currently at TENEO SECURITIES LLC located in New York, New York. Steven is registered as a RR (Registered Representative) and started their career in finance in 2010. Steven has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
MARBLE NORTH SECURITIES LLC | VERAPOINT SECURITIES LLC | TENEO SECURITIES LLC
Contact Information
Main Address
280 Park Avenue 4th Floor, New York, NY 10017Mailing Address
280 Park Avenue 4th Floor, New York, NY 10017Phone Number
(212) 886-1600Established
Delaware since 07/17/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TENEO CAPITAL CORPORATION | SOLE MEMBER | — |
| BOGUSLASKI, CHARLES ROBERT | CHIEF OFFICER | 4845807 |
| HALLERAN, KRISTIN MARIE | CHIEF COMPLIANCE OFFICER | 4726430 |
| POLKOWITZ, GARY CRAIG | MEMBER OF BOARD OF DIRECTORS | 2866014 |
| ROTHENBERG, SHARI P | FINOP/PFO/POO | 6590875 |
| SULLIVAN, STEVEN MICHAEL | MEMBER OF BOARD OF DIRECTORS | 5162216 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/24/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2010About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Sullivan's CRS (Customer Relationship Summary).
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