DINA MARIE SULLIVAN

DINA MARIE SULLIVAN is currently employed as a Broker and/or Investment Adviser at PRINCIPAL FUNDS DISTRIBUTOR, INC. located at 620 COOLIDGE DR., SUITE 300, FOLSOM, CA, 95630.

DINA MARIE SULLIVAN has worked at PRINCIPAL FUNDS DISTRIBUTOR, INC. since April 28, 2003

Disclosure History

DINA MARIE SULLIVAN has 1 Disclosure Event(s).

Date: December 01, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $10,060.00
Judgment/Lien Type: Civil
Broker Comment: PARTICIPATED IN A FINANCE PROGRAM TO PURCHASE A NEW HVAC SYSTEM FOR PRIMARY RESIDENCE; TO MY KNOWLEDGE, I NEVER RECEIVED DOCUMENTATION FOR SUCH LIEN.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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