Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Andrew Travis O'Sullivan
Andrew O'Sullivan
CRD#: 6770133
IA
Investment Adviser
HIGHLAND CAPITAL MANAGEMENT, LLCCRD#: 104842 850 RIDGE LAKE BLVD
SUITE 205
MEMPHIS, TN 38120
Registration History
2017201820192020202120222023202420252026IAHIGHLAND CAPITAL MANAGEMENT, LLC (CRD# 104842)2017 - Present (8 years)
License(s)

State Registrations

IA
Tennessee 3/29/2017
Current Registration(s)
IA
HIGHLAND CAPITAL MANAGEMENT, LLC (CRD#:104842)
850 RIDGE LAKE BLVD SUITE 205, MEMPHIS, TN 38120
Registered with this firm since 3/29/2017
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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.