JEROME SULLIVAN - Investment Adviser at TD PRIVATE CLIENT WEALTH LLC

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Detailed ReportReport

JEROME SULLIVAN

JEROME C SULLIVAN

CRD#: 5222623

Investment Adviser

Broker

TD PRIVATE CLIENT WEALTH LLCCRD#: 164484

237 Main Street
Wareham, MA 02571

Registration History

Disclosure(s)

View By:

2/17/2015

Regulatory

Final

License(s)

State Registrations

Connecticut 8/23/2022

New Hampshire 11/18/2021

Georgia 6/12/2023

New York 2/23/2024

Massachusetts 10/18/2021

Rhode Island 9/8/2021

SRO Registrations

FINRA

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)

TD PRIVATE CLIENT WEALTH LLC (CRD#:164484)

237 Main Street, Wareham, MA 02571

Registered with this firm since 11/5/2024

TD PRIVATE CLIENT WEALTH LLC (CRD#:164484)

237 Main Street, Wareham, MA 02571

Registered with this firm since 9/8/2021

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	02/17/2015 - 08/30/2021	FINANCIAL FOCUS ASSET MANAGEMENT,INC. (CRD#:128847)	PEMBROKE, MA
IA	09/29/2009 - 12/31/2014	FINANCIAL FOCUS ASSET MANAGEMENT,INC. (CRD#:128847)	PEMBROKE, MA
B	01/01/2008 - 09/08/2009	WELLS FARGO ADVISORS, LLC (CRD#:19616)	PLYMOUTH, MA
B	11/10/2006 - 01/03/2008	A. G. EDWARDS & SONS, INC. (CRD#:4)	PLYMOUTH, MA

FINANCIAL FOCUS ASSET MANAGEMENT,INC. (CRD#:128847)

PEMBROKE, MA

02/17/2015 - 08/30/2021

FINANCIAL FOCUS ASSET MANAGEMENT,INC. (CRD#:128847)

PEMBROKE, MA

09/29/2009 - 12/31/2014

WELLS FARGO ADVISORS, LLC (CRD#:19616)

PLYMOUTH, MA

01/01/2008 - 09/08/2009

A. G. EDWARDS & SONS, INC. (CRD#:4)

PLYMOUTH, MA

11/10/2006 - 01/03/2008

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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.

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.