Bruce A. 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.
Bruce Allen Sullivan, who also goes by Bruce A Sullivan, was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1981. Bruce had worked at 5 firms and has passed the Series 65, Series 63, Series 7 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
October 3, 2007 - September 1, 2010
INSPHERE SECURITIES, INC.
July 23, 2007 - September 1, 2010
INSPHERE SECURITIES, INC.
February 28, 2005 - October 3, 2007
ALLEGIS ADVISORS, INC.
April 8, 2004 - February 25, 2005
EQUITY SERVICES, INC.
April 8, 2004 - August 10, 2007
EQUITY SERVICES, INC.
October 14, 1999 - March 23, 2004
EQUITABLE ADVISORS, LLC
March 20, 1981 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 20, 1981 - March 23, 2004
EQUITABLE ADVISORS, LLC
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
INSPHERE SECURITIES, INC.
CRD#: 136433 / SEC#: , 8-67011
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPHERE INSURANCE SOLUTIONS, INC. | SHAREHOLDER | |
| FUNKE, CHARLES FREDERICK II | DIRECTOR/PRESIDENT/CEO | 2574335 |
| MASON, JAMES CHRISTOPHER | DIRECTOR/ CHAIRMAN | 3008152 |
| MAUGHAN, MICHAEL PHILIP | FINOP/DIRECTOR/ VICE PRESIDENT | 4771751 |
| SERNETT, GREGORY CHARLES | CHIEF COMPLIANCE OFFICER/DIRECTOR | 2580939 |
| WEINLE, SHARON KAY | CHIEF OPERATIONS OFFICER/ DIRECTOR | 1207462 |
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.
