Steven M. Sullivan
Professional summary
Steven Michael Sullivan is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2010 - Present
TENEO SECURITIES LLC
Office #1: 280 Park Avenue 4th Floor, New York, NY 10017Office #2: 280 Park Avenue 4th Floor, New York, NY 10017State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/24/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TENEO SECURITIES LLC
CRD#: 151256 / SEC#: , 8-68354
Contact information
FINRA licenses (8 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 | 1 |
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.
