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Tate Sullivan

Maxim Group LLC

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About Tate Sullivan

Tate Sullivan is a financial professional with over a decade of experience in the industry. Tate currently holds a Series 7 and Series 63 license. Tate is also a Research Analyst and holds Series 86 and Series 87 licenses. Tate is registered with Maxim Group LLC and is based in New York. Tate has previously held positions at Sidot & Company, LLC, CLSA Americas, LLC, Credit Agricole Securities (USA) Inc, Lazard Capital Markets LLC, Susquehanna Financial Group, LLLP, J.P.Morgan Securities Inc. and Bear, Stearns & Co. Inc.

Firm Information

Tate Sullivan is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

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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Tate Sullivan’s Registration & Firm History

NY

10/10/2018 - Present

Maxim Group LLC (NEW YORK NY)

NY

09/22/2015 - 10/09/2018

SIDOTI & COMPANY, LLC (NEW YORK NY)

NY

03/05/2013 - 06/25/2015

CLSA AMERICAS, LLC (NEW YORK NY)

NY

06/13/2011 - 06/10/2013

CREDIT AGRICOLE SECURITIES (USA) INC. (NEW YORK NY)

NY

10/29/2009 - 03/08/2011

LAZARD CAPITAL MARKETS LLC (NEW YORK NY)

NY

07/20/2009 - 11/20/2009

SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)

NY

10/01/2008 - 12/17/2008

J.P.MORGAN SECURITIES INC. (NEW YORK NY)

NY

06/02/2008 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

08/15/2007 - 06/02/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/05/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/2007

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/08/2007

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/14/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Tate Sullivan.
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