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Wesley Mandeville Sullivan

Other Names: Wes Sullivan
Firm:
Robert W. Baird & Co. Incorporated
Type: Dual Registration
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Description

Wesley Sullivan a financial professional at Robert W. Baird & Co. Incorporated, a broker-dealer with over 1,750 registered representatives nationwide. Wesley has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Wesley Mandeville Sullivan has not answered any questions on Financial Q&A.

Top Guides

Wesley Mandeville Sullivan has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Charitable Organizations
Investment Companies
State or Municipal Government Entities
Other Investment Advisors
Business Development Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
R.W. Baird 11 years May 2002 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 03/09/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
03/09/2011
09/10/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
General Securities Principal Examination Series 24 05/03/2001
Limited Representative-Equity Trader Exam Series 55 05/05/2000
Uniform Securities Agent State Law Examination Series 63 03/17/1995
General Securities Representative Examination Series 7 12/05/1994

Firm Compensation Arrangements

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No compensation arrangements listed.