PS
Peter Sullivan
D. BORAL CAPITAL
Woodbury, NY 11797
Some features on this profile are disabled
CRD#: 6884201
PS
Professional summary
Peter Sullivan is a registered financial professional currently at D. BORAL CAPITAL located in Woodbury, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2018. Peter has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 62 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Peter Sullivan's 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®
NoneExperience
Current
February 4, 2025 - Present
D. BORAL CAPITAL
Office #1: 60 Crossways Park Dr. W Suite 305, Woodbury, NY 11797BD
CRD#: 103792
Woodbury, NY
Past
July 25, 2018 - March 4, 2025
AEGIS CAPITAL CORP.
BD
CRD#: 15007
MELVILLE, NY
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
Alabama(2/4/2025)
RR
Alaska(3/21/2025)
RR
Arizona(3/21/2025)
RR
Arkansas(3/21/2025)
RR
California(2/4/2025)
RR
Colorado(2/4/2025)
RR
Connecticut(2/5/2025)
RR
Florida(2/4/2025)
RR
Georgia(2/4/2025)
RR
Hawaii(2/4/2025)
RR
Idaho(3/21/2025)
RR
Illinois(6/9/2025)
RR
Kansas(2/4/2025)
RR
Louisiana(2/4/2025)
RR
Maryland(2/4/2025)
RR
Massachusetts(3/5/2025)
RR
Michigan(2/4/2025)
RR
Minnesota(3/21/2025)
RR
Missouri(2/4/2025)
RR
Montana(2/6/2025)
RR
Nebraska(2/4/2025)
RR
Nevada(3/21/2025)
RR
New Jersey(2/4/2025)
RR
New Mexico(2/4/2025)
RR
New York(2/4/2025)
RR
North Carolina(3/21/2025)
RR
Ohio(3/21/2025)
RR
Oklahoma(3/21/2025)
RR
Oregon(3/21/2025)
RR
Pennsylvania(2/4/2025)
RR
South Carolina(3/21/2025)
RR
Tennessee(3/21/2025)
RR
Texas(2/4/2025)
RR
Utah(3/21/2025)
RR
Virginia(2/4/2025)
RR
Washington(3/4/2025)
RR
Wisconsin(3/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 7/25/2018
Corporate Securities Limited Representative ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
DB
D. BORAL CAPITAL
BENCHMARK INVESTMENTS, INC. | EF HUTTON LLC | D. BORAL CAPITAL LLC | D. BORAL CAPITAL | BENCHMARK INVESTMENTS, LLC
CRD#: 103792 / SEC#: , 8-52280
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
590 Madison Ave 39th Floor, New York, NY 10022
Mailing Address
590 Madison Ave 39th Floor, New York, NY 10022
Phone number
(212) 570-5150
Established
Nevada since 05/28/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBCH PARTNERS LLC | SHAREHOLDER | |
| AGRAWAL, SHARAD | CHIEF TECHNOLOGY OFFICER | 5115964 |
| BORAL, DAVID WALTER | CHIEF EXECUTIVE OFFICER | 5340753 |
| MERLIN, JARED | CHIEF COMPLIANCE OFFICER | 4222427 |
| WHALEN, RYAN JAMES | GENERAL COUNSEL | 7457347 |
| WIEDERLIGHT, PHILIP | CHIEF OPERATING OFFICER | 5856024 |
| WILDER, BRADLEY STEPHEN | FINOP | 7497819 |
Disclosures
| Regulatory Event | 2 |
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.
