Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Sullivan is a registered representative with Citigroup Global Markets Inc. Brian is an active investment advisor representative, broker and has been working in the industry since 1986. Brian has passed the Series 3, 7, 10, 24, 52, 63, 66, 72, 99, and SIE exams and is registered in 53 states including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Brian has experience with clients including individuals, high-net-worth individuals, charitable organizations, corporations, pension and profit-sharing plans, and state or municipal government entities. Brian has also held positions at DAIWA SECURITIES AMERICA INC. and MIZUHO SECURITIES USA INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NJ
09/26/2024 - Present
Citigroup Global Markets Inc. (Jersey City NJ)
NY
02/09/2005 - 02/09/2006
DAIWA SECURITIES AMERICA INC. (NEW YORK NY)
NY
01/02/2003 - 02/08/2005
MIZUHO SECURITIES USA INC. (NEW YORK NY)
NY
03/01/1996 - 05/03/2002
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
02/12/1996 - 02/14/1996
CHEMICAL SECURITIES, INC. (NEW YORK NY)
MD
05/20/1986 - 02/12/1996
CHASE SECURITIES, INC. (NEW YORK MD)
BOTH
Issued 07/01/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/30/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/06/2006
Series 24 - General Securities Principal Examination
BC
Issued 05/17/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 12/29/2023
Series 3 - National Commodity Futures Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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