Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Sullivan is a financial professional with over 13 years of experience in the financial services industry. Michael is currently registered with Umergence LLC in Plantsville, CT. Prior to joining Umergence LLC, Michael was previously registered with DEMOPOLIS CAPITAL INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Michael holds the Series 7, 24, 53, and 63 securities licenses and the Series 65 investment advisor license.
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.
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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CT
08/04/2021 - Present
Umergence LLC (PLANTSVILLE CT)
NY
09/02/2020 - 03/11/2021
DEMOPOLIS CAPITAL INC. (HARLEM NY)
NY
08/22/2002 - 08/27/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/03/2009 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
05/14/2001 - 06/05/2002
THEMUNICENTER.COM (NEW YORK NY)
BC
Issued 11/16/2020
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/16/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/19/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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