Dawn T. 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.
Dawn Terese Sullivan, who also goes by Dawn Terese Moschella, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 2009. Dawn had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2017 - March 17, 2023
ROBBINS FARLEY LLC
May 13, 2016 - April 3, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 12, 2016 - April 3, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 9, 2013 - May 3, 2016
MOORS & CABOT, INC.
September 19, 2011 - May 3, 2016
MOORS & CABOT, INC.
November 20, 2009 - October 30, 2010
M. GRIFFITH INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
ROBBINS FARLEY LLC
CRD#: 286581 / SEC#: 801-118427
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
ROBBINS FARLEY LLC
CRD#: 286581 / SEC#: 801-118427
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 680 |
| AUM (Assets Under Management) | $ 225,082,765 |
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.
