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AS

Andrew M. Sullivan

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CRD#: 5696316
AS

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.

Andrew Michael Sullivan was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2010. Andrew had worked at 4 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 3, 2017 - June 9, 2017

HAITONG INTERNATIONAL SECURITIES (USA) INC.

BD
CRD#: 132201
NEW YORK, NY
Past

June 10, 2014 - November 14, 2014

MAYBANK SECURITIES USA INC.

BD
CRD#: 27861
NEW YORK, NY
Past

January 3, 2012 - September 7, 2012

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

June 2, 2010 - July 16, 2010

MAINFIRST SECURITIES US INC.

BD
CRD#: 150982
CENTRAL HONG KONG,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 6/9/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2010
General Securities Representative Examination

Current Firm

HI
HAITONG INTERNATIONAL SECURITIES (USA) INC.
HAITONG INTERNATIONAL | JAPANINVEST INC. | HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201 / SEC#: , 8-66566

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
130 West 42nd Street Fl 18, New York, NY 10036
Mailing Address
130 West 42nd Street Fl 18, New York, NY 10036
Phone number
(212) 351-6000
Established
New York since 06/09/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HAITONG INTERNATIONAL SECURITIES GROUP LIMITEDPARENT
BASILOTTA, SILVIA GRACIELAFINANCIAL OPERATIONS PRINCIPAL1201948
CHOU, CHUK NAMBOARD OF DIRECTORS MEMBER7755974
FORBES, SEAN MATTHEWPRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER1554301
SHI, PINGBOARD OF DIRECTORS MEMBER7030173
WU, YANDEPUTY CEO, BOARD OF DIRECTORS MEMBER3120765
YE, WEILUCEO, BOARD OF DIRECTORS MEMBER7205185

Disclosures

Regulatory Event1

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.

Company Information

HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201

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