Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Michael Sullivan is a financial professional with over 30 years of experience in the financial industry. Scott is currently registered with Piper Sandler & Co. Prior to that, Scott worked with a number of firms including Jefferies & Company, Inc., Robertson Stephens, Inc., BancAmerica Robertson Stephens, Robertson, Stephens & Company LLC, Tucker Anthony Incorporated and Prescott, Ball & Turben, Inc. Scott holds several industry licenses including Series 7, Series 8, Series 9, Series 10, Series 24 and SIE. Scott is also registered to provide securities services in Alabama, California, Connecticut, Florida, Illinois, Massachusetts, Minnesota, New Hampshire, New York, Pennsylvania, Rhode Island, Texas and Vermont.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
1
2
MA
10/08/2007 - Present
Piper Sandler & Co. (Boston MA)
MA
09/04/2002 - 02/13/2007
JEFFERIES & COMPANY, INC. (BOSTON MA)
CA
09/01/1998 - 08/19/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
CA
10/01/1997 - 09/01/1998
BANCAMERICA ROBERTSON STEPHENS (SAN FRANCISCO CA)
CA
09/19/1996 - 10/01/1997
ROBERTSON, STEPHENS & COMPANY LLC (SAN FRANCISCO CA)
MA
06/26/1990 - 10/04/1996
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
03/22/1988 - 05/31/1990
PRESCOTT, BALL & TURBEN, INC.
BC
Issued 03/04/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/23/2002
Series 24 - General Securities Principal Examination
BC
Issued 05/27/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Scott Sullivan is the right advisor for you? Invested Better is here to help.
