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GS

George E. Sullivan

THOMA BRAVO CAPITAL MARKETS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7145311
GS

Professional summary

George Edward Sullivan, who also goes by George Sullivan, Ned Sullivan, is a registered financial professional currently at THOMA BRAVO CAPITAL MARKETS, LLC located in Miami, Florida.

George is registered as a RR (Registered Representative) and started their career in finance in 2020. George has worked at 2 firms and has passed the Series 7TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Sullivan | Ned 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 George Edward 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

November 5, 2021 - Present

THOMA BRAVO CAPITAL MARKETS, LLC

Office #1: 830 Brickell Plaza Suite 5100, Miami, FL 33131
BD
CRD#: 311317
Miami, FL
Past

August 6, 2020 - September 9, 2021

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
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

General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/6/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/11/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TB
THOMA BRAVO CAPITAL MARKETS, LLC
THOMA BRAVO CAPITAL MARKETS, LLC

CRD#: 311317 / SEC#: , 8-70612

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

Main Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Mailing Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Phone number
(312) 254-3300
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THOMA BRAVO ADVISERS, L.P.MEMBER
ALPER, JENNIFER JAMESPRINCIPAL, INVESTOR RELATIONS & MARKETING7309562
KRZAK, ALEXANDER JACOBPRINCIAL OPERATIONS OFFICER6349160
MOCK, ERWIN HECTORPRINCIPAL, HEAD OF CAPITAL MARKETS4236454
PORTNOFF, DAVID ROSSFIN OP, PRINCIPAL FINANCIAL OFFICER2977967
SCHWAB, STEVEN ANTHONYSENIOR DIRECTOR, DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4589027

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.

Company Information

THOMA BRAVO CAPITAL MARKETS, LLC

CRD#: 311317Miami, FL 33131

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