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Michael John Sullivan
MICHAEL SULLIVAN
CRD#: 5555596
IA
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EDWARD JONESCRD#: 250 485 SOUTH PERRY STREET STE C
LAWRENCEVILLE, GA 30046
LAWRENCEVILLE, GA 30046
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3/4/2024
Customer Dispute
Pending
9/1/1995
Criminal
Final Disposition
State Registrations
B
Alabama 3/5/2024
B
Maine 4/27/2017
B
California 12/10/2010
B
Mississippi 7/14/2011
B
District of Columbia 8/16/2011
B
New York 11/29/2016
B
Florida 4/11/2013
B
North Carolina 11/10/2008
B
Georgia 9/11/2008
B
Tennessee 3/5/2021
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Georgia 9/12/2008
B
Utah 6/21/2010
B
Kentucky 9/10/2010
B
Vermont 4/29/2020
SRO Registrations
B
B
B
B
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Registered with this firm since 9/12/2008
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Registered with this firm since 8/15/2008
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.