Casey 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.
Casey Ardelle Sullivan, who also goes by Casey A Sullivan, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 2009. Casey had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2023 - September 30, 2025
OPENDEAL BROKER LLC
September 24, 2021 - April 4, 2023
OPENDEAL BROKER LLC
January 3, 2019 - September 13, 2021
CHARLES RIVER BROKERAGE, LLC
May 1, 2017 - September 13, 2021
STATE STREET GLOBAL MARKETS, LLC
May 18, 2009 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
OPENDEAL BROKER LLC
CRD#: 291387 / SEC#: , 8-70055
Contact information
FINRA licenses (51 States and Territories)
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.
