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Thomas Patrick Sullivan

SG Americas Securities, LLC

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About Thomas Patrick Sullivan

Thomas Patrick Sullivan is a financial professional with over 11 years of experience in the securities industry. Sullivan is currently registered with SG Americas Securities, LLC. Previously, Sullivan was registered with Commerz Markets LLC. Sullivan holds the following licenses: Series 63, Series 24, Series 27, Series 99TO, Series 7TO, and SIE. Sullivan is registered to conduct business in all 50 states and the District of Columbia.

Firm Information

Thomas Sullivan is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Thomas Sullivan’s Registration & Firm History

NY

03/02/2016 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

02/16/2011 - 02/08/2016

COMMERZ MARKETS LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/07/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/10/2021

Series 24 - General Securities Principal Examination

BC

Issued 02/15/2011

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 05/12/2021

Series 7TO - General Securities Representative Examination

BC

Issued 02/23/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Thomas Patrick Sullivan.
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