Thomas A. 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.
Thomas Andrew Sullivan III, who also goes by Thomas Andrew Sullivan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2014. Thomas 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
May 24, 2021 - February 12, 2024
PEACHTREE PC INVESTORS, LLC
April 20, 2020 - December 31, 2020
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
December 5, 2014 - April 20, 2020
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
October 14, 2014 - December 31, 2020
DELAWARE DISTRIBUTORS, L.P.
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
PEACHTREE PC INVESTORS, LLC
CRD#: 301004 / SEC#: , 8-70317
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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