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Detailed Report
TIMOTHY CHARLES SULLIVAN
TIM SULLIVAN
CRD#: 2969989
IA
Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19901995200020052010201520202025IAINTERNATIONAL ASSETS INVESTMEN... (CRD# 144426)2018 - 2023 (5 years)IASII INVESTMENTS, INC. (CRD# 2225)2008 - 2017 (9 years)IATHE RETIREMENT GROUP (CRD# 123102)2007 - 2008 (1 year)IATHE RETIREMENT GROUP (CRD# 123102)2002 - 2006 (4 years)
Disclosure(s)
View By:
2/26/2024
Regulatory
Final
2/15/2023
Judgment / Lien
9/24/2021
Judgment / Lien
5/7/2019
Judgment / Lien
12/7/2017
Employment Separation After Allegations
3/22/2002
Customer Dispute
Award / Judgment
1/20/2000
Customer Dispute
Pending
1/10/2000
Customer Dispute
Pending
5/14/1987
Criminal
Final Disposition
Previous Registration(s)
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 01/11/2018 - 12/12/2023 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC (CRD#:144426) SAN RAMONE, CA
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 09/03/2008 - 12/07/2017 SII INVESTMENTS, INC. (CRD#:2225) SAN RAMON, CA
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 11/07/2007 - 12/31/2008 THE RETIREMENT GROUP (CRD#:123102) SAN DIEGO, CA
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 01/03/2002 - 08/28/2006 THE RETIREMENT GROUP (CRD#:123102) SAN DIEGO, CA
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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.
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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
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.