Austin J. Sullivan
Professional summary
Austin Joseph Sullivan, who also goes by Austin Joseph Sullivan, is a registered financial professional currently at DC ADVISORY located in San Francisco, California.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2019. Austin has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Austin Joseph Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2024 - Present
DC ADVISORY
Office #1: 425 California Street Suite 1900, San Francisco, CA 94104August 3, 2021 - February 29, 2024
WILLIAM BLAIR
September 5, 2019 - July 22, 2021
COWEN AND COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/4/2024)
Exams
Series 79TO
Date: 9/5/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
Red Flags
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