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CS

Casey Sullivan

APOLLO GLOBAL SECURITIES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 6172956
CS

Professional summary

Casey Sullivan, CIMA®, who also goes by Casey Dale Sullivan Ms., Casey Dale Sullivan, Casey Sullivan, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in El Segundo, California.

Casey is registered as a RR (Registered Representative) and started their career in finance in 2013. Casey has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Casey Dale Sullivan Ms. | Casey Dale Sullivan | Casey Sullivan

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) - BD

Click below to view Casey Sullivan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Current

February 10, 2026 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 2121 Rosecrans Avenue Suite 5300, El Segundo, CA 90245
BD
CRD#: 153502
El Segundo, CA
Past

May 14, 2025 - August 13, 2025

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

March 16, 2022 - May 7, 2025

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Los Angeles, CA
Past

May 9, 2014 - March 3, 2022

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
SAN FRANCISCO, CA
Past

April 18, 2013 - April 21, 2014

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
QUINCY, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(2/10/2026)
RR
Arizona
(2/10/2026)
RR
California
(2/10/2026)
RR
Colorado
(2/10/2026)
RR
Hawaii
(2/10/2026)
RR
Idaho
(2/10/2026)
RR
Montana
(2/10/2026)
RR
Nevada
(2/10/2026)
RR
New Mexico
(2/10/2026)
RR
New York
(2/10/2026)
RR
Oregon
(2/10/2026)
RR
Utah
(2/10/2026)
RR
Washington
(2/10/2026)
RR
Wyoming
(2/10/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

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

Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
APOLLO GLOBAL SECURITIES INTERMEDIATE, L.P.SOLE MEMBER
CHATTERJEE, WHITNEY AMEMBER BOARD OFMANAGERS7874808
DRESCHER, STEPHANIEHEAD OF MARKETING3055145
LEVY, YAEL KENANCHIEF COMPLIANCE OFFICER4435788
NEEDLEMAN, ERIC DAVIDPRESIDENT2773431
TREBING, ADAM PMEMBER BOARD OF MANAGERS5828238
TREBING, ADAM PCFO / FINOP / PFO / POO5828238

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

APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502El Segundo, CA 90245

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