Kim D. 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.
Kim David Sullivan was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1976. Kim had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1985 - May 22, 1986
HAWKLIN SECURITIES CORPORATION
October 22, 1985 - November 13, 1985
DILLON SECURITIES, INC.
January 2, 1985 - September 30, 1985
NATIONAL SECURITIES CORPORATION
April 12, 1983 - November 14, 1984
PUGET SOUND SECURITIES, INC.
June 24, 1976 - November 13, 1978
FOSTER & MARSHALL INC.
State Registrations and Notice Filings
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Exams
Current Firm
HAWKLIN SECURITIES CORPORATION
CRD#: 10832 / SEC#: , 8-28181
Contact information
Documents
Red Flags
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