Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deena? Claim Your ProfileDeena Maria Sullivan is a financial advisor who has been in the industry since 1997. Deena is currently registered with Oppenheimer & Co. Inc. Deena has experience in several areas of financial advising including financial planning, portfolio management, and pension consulting. Deena has previously been registered with several other firms including ITG INC., KCG AMERICAS LLC, KNIGHT CAPITAL AMERICAS, L.P., WJB CAPITAL GROUP, INC., PRUDENTIAL EQUITY GROUP, LLC, CREDIT SUISSE FIRST BOSTON CORPORATION, and DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION. Deena holds several licenses including Series 7, 10, 24, 55, 57TO, and SIE. Deena is also a registered representative in New Jersey and New York.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NJ
05/23/2017 - Present
Oppenheimer & Co. Inc. (SADDLE BROOK NJ)
NY
09/22/2014 - 04/03/2017
ITG INC. (NEW YORK NY)
NJ
07/02/2012 - 09/15/2014
KCG AMERICAS LLC (JERSEY CITY NJ)
NJ
03/09/2012 - 07/02/2012
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
NY
10/03/2007 - 01/12/2012
WJB CAPITAL GROUP, INC. (NEW YORK NY)
NY
07/17/2003 - 07/09/2007
PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)
NY
10/10/2000 - 04/19/2002
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
03/12/1996 - 10/10/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 03/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/17/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/11/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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