Stephen Sullivan is a New York-based securities broker. He has worked in the securities industry for twenty years. During his career, he has been registered with fourteen different securities firms.
His registrations include; Ladenburg Capital Management (1998-2002), Ladenburg, Thalman & Co. (2002-2005), Granite Associates (2005-2006), Whitaker Securities (2006), Newbridge Securities Corporation (2006-2007, 2016-2017), J.P. Turner & Company (2007-2010), First Midwest Securities (2010-2012), Brookville Capital Partners (2012-2014, 2015), Wilmington Capital Securities (2014-2015), Tryco Securities (2015), Legend Securities (2015-2016), Worden Capital Management (2017-2018), and SW Financial (2018-Present).
Stephen Sullivan’s publicly available FINRA BrokerCheck report shows that he is currently the subject of a pending customer complaint. In May 2018, a customer alleged unsuitable transactions and excessive trading. The customer is seeking $540,618 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Stephen Sullivan, please contact Oakes & Fosher for a free and private consultation.