Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Francis Sullivan has been in the industry since October 28, 1995. Thomas is currently registered with Alexander Capital, LP and has been employed there since April 7, 2014. He is also licensed in the state of New York. Thomas has a diverse background, having worked at a number of firms including Arive Capital Markets, McCracken Advisory Partners Corporation, LPS Partners Inc., and Tradition (Global Clearing) Inc. Thomas has a number of professional licenses and designations including Series 66, Series 63, Series 27, Series 53, Series 4, Series 24, Series 14, Series 10, Series 9, Series 99TO, Series 52TO, SIE, Series 55, and Series 7.
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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2
NJ
04/07/2014 - Present
Alexander Capital, LP (RED BANK NJ)
NY
03/17/2015 - 06/28/2024
ARIVE CAPITAL MARKETS (STATEN ISLAND NY)
MN
01/03/2012 - 03/07/2014
MCCRACKEN ADVISORY PARTNERS CORPORATION (MINNEAPOLIS MN)
NY
05/02/2013 - 08/30/2013
LPS PARTNERS INC. (NEW YORK NY)
NY
03/27/2012 - 04/25/2013
ATON SECURITIES INC. (NEW YORK NY)
NY
09/28/2011 - 12/22/2011
U.S. SECURITIES, INTL. CORP. (NEW YORK NY)
NY
09/24/2004 - 05/25/2007
M.J. WHITMAN LLC (SARATOGA SPRINGS NY)
NY
08/03/1998 - 09/30/2004
TRADITION (GLOBAL CLEARING) INC. (NEW YORK NY)
NY
09/03/1998 - 09/23/2004
TRADITION ASIEL SECURITIES INC. (NEW YORK NY)
IL
03/15/1995 - 07/31/1998
SAKURA SECURITIES (U.S.A.), INCORPORATED (CHICAGO IL)
NY
02/23/1994 - 03/16/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/24/1986 - 04/04/1989
WERTHEIM SCHRODER & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 01/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2019
Series 27 - Financial and Operations Principal Examination
BC
Issued 12/17/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/29/2011
Series 4 - Registered Options Principal Examination
BC
Issued 11/11/2011
Series 24 - General Securities Principal Examination
BC
Issued 03/01/2001
Series 14 - Compliance Officer Examination
BC
Issued 02/05/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/16/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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