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CHARLES WALKER SULLIVAN III
CHARLES WALKER SULLIVAN, CHARLES WALKER
CRD#: 1205309
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 2859 Paces Ferry Rd SE
Ste 1200
Atlanta, GA 30339
Ste 1200
Atlanta, GA 30339
0
Disclosures
32
Years of Experience
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State Registrations
B
Alabama 5/4/2015
B
Louisiana 4/10/2018
B
Arizona 2/18/2019
B
Maryland 10/12/2011
B
Colorado 8/27/2018
B
Minnesota 10/30/2024
B
Delaware 7/2/2018
B
Mississippi 11/8/2017
B
District of Columbia 10/12/2011
B
New York 8/17/2024
B
Florida 2/5/2007
B
North Carolina 10/12/2017
B
Georgia 1/1/2002
B
South Carolina 7/1/2021
IA
Georgia 12/16/2003
B
Virginia 4/10/2018
SRO Registrations
B
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IA
Registered with this firm since 12/16/2003
B
Registered with this firm since 5/18/1992
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/02/2003 - 10/27/2009 | ATLANTA, GA | |
B | 08/04/1992 - 01/01/2002 | MILWAUKEE, WI |
ATLANTA, GA
12/02/2003 - 10/27/2009
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.