Mary Sullivan, financial advisor Pasadena CA
86 score

Mary Sullivan

CRD Number: 1201373
Current Firm: Foothill Securities, Inc.

Mary Sullivan (CRD# 1201373) is an Investment Advisor Representative working at Foothill Securities, Inc. in Pasadena, CA and has over 30 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Mary sullivan Pasadena, CA Aug 2012 - Current 4
Foothill Securities, Inc. Pasadena, CA Aug 2008 - Current 8
Protected Investors Of America San Francisco, CA Apr 1994 - Aug 2008 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1986
S65 NASAA Investment Advisors Law Examination Dec 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Mary K. Sullivan
Phone Number: 650-625-9701
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,158
    MILLIONS
  • Total Number of Accounts
    6,953
    ACCOUNTS
  • Average Account Value
    $166,522
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
Types of Clients
Registered States

AK, AZ, CA, CO, DE, FL, GA, HI, ID, IL, IN, LA, MA, MD, MI, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, TN, TX, UT, WA, WI

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BADGES
86

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