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 professional with over 25 years of experience in the financial services industry. Thomas is currently a registered representative of Piper Sandler & Co., where he has worked since 2020. Previously, Thomas worked for several firms including Sandler, O'Neill & Partners, L.P., BANC ONE CAPITAL MARKETS, INC., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Smith Barney Inc. Thomas specializes in portfolio management for businesses.
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
CT
01/03/2020 - Present
Piper Sandler & Co. (Greenwich CT)
NY
04/21/2005 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
IL
04/21/2003 - 07/08/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
NY
04/05/1999 - 01/24/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
11/05/1997 - 01/26/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/26/1995 - 10/24/1997
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 11/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/04/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1995
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 Thomas Sullivan is the right advisor for you? Invested Better is here to help.
