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Kenneth George Sullivan

Siebert Williams Shank & CO., LLC

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About Kenneth George Sullivan

Kenneth George Sullivan has been a registered representative in the securities industry since 1993 and is currently registered with Siebert Williams Shank & Co., LLC. Kenneth has been with Siebert Williams Shank & Co., LLC since November 5, 2019. Kenneth has been licensed in 19 states. Before his current position, he was associated with The Williams Capital Group, L.P. for three years, E D & F MAN CAPITAL MARKETS INC. for two years, and SG AMERICAS SECURITIES, LLC for two years. Kenneth holds Series 24, Series 63, and SIE licenses.

Firm Information

Kenneth Sullivan is currently registered with Siebert Williams Shank & CO., LLC. Siebert Williams Shank & CO., LLC is a Limited Liability Company that was formed in March 1997. The firm is registered in all 50 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Kenneth Sullivan’s Registration & Firm History

NJ

11/05/2019 - Present

Siebert Williams Shank & CO., LLC (MADISON NJ)

NY

02/12/2016 - 11/05/2019

THE WILLIAMS CAPITAL GROUP, L.P. (NEW YORK NY)

NY

03/06/2013 - 05/21/2015

E D & F MAN CAPITAL MARKETS INC. (NEW YORK NY)

NY

06/18/2010 - 12/13/2011

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

08/08/2008 - 04/30/2009

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

05/09/2006 - 09/27/2007

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NY

06/03/1996 - 03/06/2006

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

08/07/1992 - 05/08/1996

FLEET ENTERPRISES, INC. (NEW YORK NY)

NA

07/25/1987 - 08/23/1990

BNY SECURITIES, INC.

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Licenses & Designations

BC

Issued 08/21/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/22/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kenneth George Sullivan.
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