Neil 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.
Neil Sullivan, who also goes by Neil Conway Sullivan, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1979. Neil 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
June 18, 1992 - May 5, 1993
DRAKE & COMPANY, INC.
August 2, 1991 - May 27, 1992
HAMPSHIRE SECURITIES CORPORATION
February 6, 1991 - May 22, 1991
REICH & CO., INC.
June 27, 1989 - December 19, 1990
RODMAN & RENSHAW INC.
April 29, 1988 - April 29, 1989
D. H. BLAIR & CO., INC.
December 15, 1987 - March 29, 1988
D. H. BLAIR & CO., INC.
June 18, 1986 - October 1, 1987
CIBC WORLD MARKETS CORP.
January 13, 1986 - June 10, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 21, 1985 - February 11, 1986
CITIGROUP GLOBAL MARKETS INC.
August 31, 1984 - October 18, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
June 13, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
May 5, 1981 - May 11, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 26, 1979 - June 1, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
DRAKE & COMPANY, INC.
CRD#: 16227 / SEC#: , 8-33490
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 8 |
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.
