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DS

Daniel J. Sullivan

EQUUS FINANCIAL CONSULTING
NEW CANAAN, CT 06840
Some features on this profile are disabled
CRD#: 6505672
DS
Daniel Joseph SullivanEQUUS FINANCIAL CONSULTING

Professional summary

Daniel Joseph Sullivan, who also goes by Daniel J Sullivan, is a registered financial professional currently at EQUUS FINANCIAL CONSULTING LLC located in New Canaan, Connecticut.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2015. Daniel has worked at 5 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 31 and Series 7 exams.

Aliases

Daniel J 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 Daniel Joseph 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®
None

Experience

Current

July 17, 2026 - Present

EQUUS FINANCIAL CONSULTING LLC

Office #1: 78 Pine St., Suite 101, New Canaan, CT 06840
BD
CRD#: 131449
NEW CANAAN, CT
Past

February 14, 2020 - October 29, 2021

LBMZ SECURITIES, INC.

BD
CRD#: 7874
CHICAGO, IL
Past

March 15, 2017 - January 28, 2020

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

February 18, 2016 - January 31, 2017

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

July 2, 2015 - January 11, 2016

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 7/23/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/3/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/26/2017
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EF
EQUUS FINANCIAL CONSULTING LLC
BAY POINT ADVISORS, LLC | WEATHERVANE CAPITAL STRATEGIES LLC | LIBERTY LANE CAPITAL LLC | HAYSTACK CAPITAL PARTNERS, LLC | EQUUS FINANCIAL CONSULTING LLC | CROSSBAY CAPITAL PARTNERS LLC | BIG VENTURES

CRD#: 131449 / SEC#: , 8-66467

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

Main Address
78 Pine St., Suite 101, New Canaan, CT 06840
Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840
Phone number
(203) 222-7400
Established
Delaware since 12/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUUS FINANCIAL LLCMEMBER
GLATTHORN, DARRYL JAMESMANAGING PARTNER, CCO, CFO, AMLCO1002270
GLATTHORN, JOCELYN KAEASSISTANT TO THE MANAGING PARTNER7288178
SINGER, STEVEN FREDERICFINOP2360737

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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Company Information

EQUUS FINANCIAL CONSULTING LLC

CRD#: 131449New Canaan, CT 06840

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