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TRAVIS DANIEL SULLIVAN JR
DAN SULLIVAN JR, DAN SULLIVAN
CRD#: 1517023
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 100 CRESCENT COURT
SUITE 1500
DALLAS, TX 75201-1871
Registration History
19901995200020052010201520202025IARBC CAPITAL MARKETS, LLC (CRD# 31194)2002 - Present (22 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)1999 - Present (25 years)BNATIONSBANC INVESTMENTS, INC. (CRD# 16361)1998 - 1999 (1 year)BNATIONSSECURITIES (CRD# 32542)1993 - 1998 (4 years)BNATIONSBANC SECURITIES, INC. (CRD# 16361)1993 - 1993 (<1 year)BTHE PRINCIPAL/EPPLER, GUERIN &... (CRD# 260)1986 - 1993 (6 years)
Disclosure(s)
View By:
5/29/1991
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arkansas 1/4/2021

B
Missouri 1/16/2008

B
California 3/3/1999

B
New Mexico 1/13/2012

B
Colorado 6/26/2002

B
New York 3/26/2010

B
Delaware 12/19/2023

B
North Carolina 2/15/2024

B
District of Columbia 11/26/2019

B
Ohio 6/16/2006

B
Florida 1/19/2006

B
Oklahoma 3/4/1999

B
Georgia 6/2/2006

B
Oregon 1/31/2019

B
Idaho 2/28/2001

B
Pennsylvania 11/12/2009

B
Kansas 3/8/2019

B
Rhode Island 2/13/2019

B
Louisiana 10/11/2018

B
South Carolina 10/13/2008

B
Massachusetts 9/25/2012

B
Tennessee 8/26/2002

B
Michigan 4/20/2009

B
Texas 3/8/1999

B
Mississippi 10/22/2009

IA
Texas 2/23/2005

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
100 CRESCENT COURT SUITE 1500, DALLAS, TX 75201-1871
DALLAS, TX
Registered with this firm since 6/11/2002

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
100 CRESCENT COURT SUITE 1500, DALLAS, TX 75201-1871
DALLAS, TX
Registered with this firm since 3/3/1999

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/01/1998 - 02/22/1999 NATIONSBANC INVESTMENTS, INC. (CRD#:16361) BOSTON, MA
B
06/07/1993 - 01/01/1998 NATIONSSECURITIES (CRD#:32542)
B
03/05/1993 - 06/07/1993 NATIONSBANC SECURITIES, INC. (CRD#:16361) BOSTON, MA
B
08/07/1986 - 02/09/1993 THE PRINCIPAL/EPPLER, GUERIN & TURNER, INC. (CRD#:260) DALLAS, TX
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B
Broker
IA
Investment Adviser
Disclosures
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.