James 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.
James Daniel Sullivan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 7 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2010 - June 27, 2017
MANION CAPITAL, LLC
July 10, 1986 - April 14, 2010
WEEDEN & CO.L.P.
April 2, 1982 - June 15, 1982
HME INTERNATIONAL ADVISORY ASSOCIATES, INC.
October 6, 1980 - June 27, 1986
SBC WARBURG DILLON READ INC.
April 11, 1980 - October 26, 1980
LADENBURG THALMANN & CO. INC.
September 16, 1977 - April 28, 1980
PRUDENTIAL EQUITY GROUP, LLC
January 3, 1977 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/18/1976
Registered Representative ExaminationCurrent Firm
MANION CAPITAL, LLC
CRD#: 155427 / SEC#:
Contact information
Red Flags
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