Kevin Sullivan
Professional summary
Kevin Sullivan, who also goes by Kevin Michael Sullivan, Kevin Sullivan, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York and CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2012. Kevin has worked at 2 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2018 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036April 15, 2020 - Present
CLEARPOOL EXECUTION SERVICES, LLC
Office #1: 151 West 42nd Street, New York, NY 10036August 8, 2012 - July 22, 2014
BMO CAPITAL MARKETS CORP.
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 ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLEARPOOL EXECUTION SERVICES, LLC
CRD#: 168490 / SEC#: , 8-69313
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 19 |
Red Flags
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