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TIMOTHY SCOTT SULLIVAN
CRD#: 4088996
IA
Investment Adviser
B
Broker
CAPITAL ANALYSTSCRD#: 162200 303 Wyman Street
Suite 300
Waltham, MA 02451
LINCOLN INVESTMENTCRD#: 519 303 Wyman Street
Suite 300
Waltham, MA 02451
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (2 years)2 FIRMS2007 - 2020 (13 years)2 FIRMS2020 - Present (4 years)BCOUNTRYWIDE INVESTMENT SERVICE... (CRD# 103919)2005 - 2007 (1 year)BCCO INVESTMENT SERVICES CORP. (CRD# 39550)2004 - 2005 (1 year)BNEW ENGLAND SECURITIES (CRD# 615)2002 - 2003 (1 year)
Disclosure(s)
View By:
10/26/2022
Customer Dispute
Closed-No Action
9/25/2009
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Connecticut 11/6/2020

B
Massachusetts 11/16/2020

B
Florida 11/6/2020

B
New Hampshire 11/6/2020

IA
Massachusetts 11/9/2020

B
Rhode Island 11/6/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL ANALYSTS (CRD#:162200)
303 Wyman Street Suite 300, Waltham, MA 02451
Registered with this firm since 11/9/2020

B
LINCOLN INVESTMENT (CRD#:519)
303 Wyman Street Suite 300, Waltham, MA 02451
Registered with this firm since 11/6/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/10/2007 - 11/13/2020 ADVICE AND PLANNING SERVICES (CRD#:20472) WALTHAM, MA
B
04/09/2007 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) WALTHAM, MA
B
09/12/2005 - 03/26/2007 COUNTRYWIDE INVESTMENT SERVICES, INC. (CRD#:103919) FRAMINGHAM, MA
B
01/06/2004 - 09/29/2005 CCO INVESTMENT SERVICES CORP. (CRD#:39550) JOHNSTON, RI
B
06/04/2002 - 08/19/2003 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
IA
03/16/2000 - 05/07/2002 UBS PAINEWEBBER INC. (CRD#:8174) SAN DIEGO, CA
B
02/07/2000 - 05/07/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
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B
Broker
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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.