Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Sullivan is a financial advisor with over 18 years of experience in the industry. Sullivan's current registration is with Raymond James & Associates, Inc. Previously, Sullivan has held registrations with several firms, including FORESIDE FUND SERVICES, LLC, MIZUHO SECURITIES USA INC., MERRIMAN CAPITAL, INC., and NICHOLAS-APPLEGATE SECURITIES LLC. Thomas is a licensed and registered representative with Series 7 and Series 63 licenses. Sullivan also holds the Series 65 license and the SIE exam certification.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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
FL
09/10/2020 - Present
Raymond James & Associates, Inc. (BOCA RATON FL)
PA
06/08/2015 - 01/07/2016
FORESIDE FUND SERVICES, LLC (Philadelphia PA)
NY
10/28/2010 - 08/29/2012
MIZUHO SECURITIES USA INC. (NEW YORK NY)
NY
12/09/2003 - 10/25/2010
MERRIMAN CAPITAL, INC. (NEW YORK NY)
CA
03/14/2001 - 10/25/2002
NICHOLAS-APPLEGATE SECURITIES LLC (SAN DIEGO CA)
NY
03/16/2000 - 05/01/2000
FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)
NA
04/28/1994 - 05/20/1994
NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP)
NA
12/20/1993 - 04/27/1994
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
IA
Issued 04/25/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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