Ellen C. 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.
Ellen Carole Sullivan, who also goes by Ellen Carole Bronstein, Ellen Sullivan, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1988. Ellen had worked at 4 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
September 23, 2009 - January 31, 2014
APPLE LANE GROUP LLC
May 10, 2005 - July 21, 2009
JUNIPER CAPITAL GROUP, LLC
May 25, 1990 - April 16, 2004
SCHRODER FUND ADVISORS LLC
July 11, 1988 - April 4, 1990
NEUBERGER BERMAN BD 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
APPLE LANE GROUP LLC
CRD#: 129331 / SEC#: , 8-66216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GANT, DAYNA ELAINE | PRESIDENT, CLERK, MANAGING MEMBER, CCO, FINOP, AML SUPERVISOR | 2126552 |
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.
