David W. 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.
David William Sullivan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 4 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2003 - June 27, 2019
SULLIVAN FINANCIAL, LLC
May 6, 1999 - November 26, 2003
MAIN STREET MANAGEMENT COMPANY
January 14, 1998 - November 26, 2003
MAIN STREET MANAGEMENT COMPANY
August 1, 1991 - January 13, 1998
OSAIC FS, INC.
November 28, 1980 - August 27, 1991
VP DISTRIBUTORS LLC
Primary Firm SEC Registration
SULLIVAN FINANCIAL, LLC
CRD#: 121371 / SEC#: 801-130753
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
Current Firm
SULLIVAN FINANCIAL, LLC
CRD#: 121371 / SEC#: 801-130753
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 110,935,667 |
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.
