Kevin E. 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.
Kevin Edmund Sullivan was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2002. Kevin had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
April 7, 2014 - September 29, 2017
POTOMAC CAPITAL MARKETS, LLC
May 19, 2008 - November 10, 2011
PINEBRIDGE SECURITIES LLC
December 18, 2002 - September 2, 2005
LOOMIS, SAYLES & COMPANY, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/12/1977
Registered Representative ExaminationCurrent Firm
POTOMAC CAPITAL MARKETS, LLC
CRD#: 39800 / SEC#: , 8-48848
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
