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Rory Sullivan

SG Americas Securities, LLC

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About Rory Sullivan

Rory Sullivan is a financial advisor with over 3 years of experience in the industry. Rory holds Series 3, 7TO, 6TO, and SIE licenses, and has passed the Series 63 and Series 65 exams. Rory is currently registered with SG Americas Securities, LLC in New York, Connecticut, and New Jersey, and previously worked with Trinity Wealth Securities, L.L.C. in Florida.

Firm Information

Rory Sullivan is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Rory Sullivan’s Registration & Firm History

NY

08/16/2022 - Present

SG Americas Securities, LLC (NEW YORK NY)

FL

04/29/2019 - 08/13/2019

TRINITY WEALTH SECURITIES, L.L.C. (tampa FL)

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Licenses & Designations

BC

Issued 09/23/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 07/29/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/01/2022

Series 3 - National Commodity Futures Examination

BC

Issued 08/16/2022

Series 7TO - General Securities Representative Examination

BC

Issued 04/29/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/29/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

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 PEARL, 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

Disclosures

There are no public disclosures for Rory Sullivan.
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