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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2020-01-15 |
Branch Locations
160 Gould Street Suite 212, Needham Heights, MA 02494 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii | Boston | MA | 10/2015 | 12/2019 |
| John Hancock Personal Financial Services, Llc | Boston | MA | 06/2018 | 12/2019 |
| John Hancock Distributors Llc | Boston | MA | 10/2018 | 12/2019 |
| Royal Alliance | Needham Heights | MA | 01/2020 | Present |
1. CENTINEL FINANCIAL GROUP/MARK SULLIVAN POSITION: Financial Planner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 01/06/2020 ADDRESS: 160 GOULD ST, Suite 212, NEEDHAM HGTS MA 02494, United States DESCRIPTION: Assisting rep George Bernet with his book of business which may include but not limited to: - placing trades for clients - having review calls and/or meetings with clients - assisting in the financial planning process for clients - other sales support for clients and prospects as need be 2. CENTINEL FINANCIAL GROUP/MARK SULLIVAN POSITION: Sr. Financial Planning Associate NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 01/06/2020 ADDRESS: 160 GOULD ST, Suite 212, NEEDHAM HGTS MA 02494, United States DESCRIPTION: Assisting rep George Bernet with his book of business which may include: - placing trades for clients - having review calls and/or meetings with clients - assisting in the financial planning process for clients - other sales support for clients and prospects as need be
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-27 |
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