Robert P. Sullivan
Professional summary
Robert Philip Sullivan, who also goes by Robert Sullivan, is a registered financial professional currently at COMMERZ MARKETS LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2012. Robert has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Philip Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2024 - Present
COMMERZ MARKETS LLC
Office #1: 225 Liberty Street, New York, NY 10281December 14, 2012 - May 30, 2014
SANTANDER INVESTMENT SECURITIES INC.
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 79TO
Date: 8/31/2024
Investment Banking Registered Representative ExaminationFINRA
Current Firm
COMMERZ MARKETS LLC
CRD#: 41957 / SEC#: , 8-49647
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
| Regulatory Event | 9 |
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