Daniel J. 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.
Daniel J Sullivan was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2015. Daniel had worked at 4 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 31 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
February 14, 2020 - October 29, 2021
LBMZ SECURITIES, INC.
March 15, 2017 - January 28, 2020
NATIXIS DISTRIBUTION, LLC
February 18, 2016 - January 31, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 2, 2015 - January 11, 2016
REALTY CAPITAL SECURITIES, LLC
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 7TO
Date: 1/3/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/3/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LBMZ SECURITIES, INC.
CRD#: 7874 / SEC#: , 8-23266
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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