Carol J. 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.
Carol Jean Sullivan was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1977. Carol had worked at 12 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
February 9, 2007 - December 15, 2010
WEST COUNTY FINANCIAL SERVICES
November 24, 1997 - February 2, 2006
WALNUT STREET ADVISERS INC
October 24, 1996 - December 20, 2012
WALNUT STREET SECURITIES, INC.
June 19, 1996 - September 5, 1996
WMA SECURITIES, INC.
January 9, 1995 - May 13, 1996
METROPOLITAN LIFE INSURANCE COMPANY
January 9, 1995 - May 13, 1996
MSI FINANCIAL SERVICES, INC.
May 21, 1990 - December 31, 1994
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - December 31, 1994
MSI FINANCIAL SERVICES, INC.
March 23, 1990 - April 25, 1990
UR FINANCIAL, INC.
October 17, 1989 - March 20, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 17, 1989 - March 20, 1990
EQUITABLE ADVISORS, LLC
April 11, 1988 - November 8, 1989
LEHMAN BROTHERS INC.
March 22, 1985 - June 18, 1988
FIRST AFFILIATED SECURITIES, INC.
December 23, 1977 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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