Kevin O’Sullivan Named in Investor Dispute

Kevin O’Sullivan (CRD #: 4499275), a broker registered with Commonwealth Financial Network, is the subject of a pending dispute, according to his BrokerCheck record, accessed on July 16, 2022. Read on to learn more about Kevin O’Sullivan’s conduct as a broker.

Investor Dispute

On April 27, 2022, an investor named Kevin O’Sullivan in a pending investor dispute related to a lack of due diligence.

What is Due Diligence? 

Brokers and brokerage firms owe their investors a duty of due diligence. Brokerage firms must thoroughly research investment products before brokers can recommend them. Firms that perform their due diligence should also understand the risks associated with an investment. 

In order to meet the requirements of FINRA Rule 2111, brokers must perform their due diligence and understand their investors’ needs and risk tolerance. 

Background Information

Kevin O’Sullivan has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 22 – Direct Participation Programs Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Kevin O’Sullivan is a registered broker in nine states and a registered investment adviser in Massachusetts.

He has also worked for the following firms:

• Lincoln Financial Advisors (CRD#:3978)
• The Lincoln National Life Insurance Company (CRD#:2580)
• Invest Financial Corporation (CRD#:12984)
• ING Financial Partners (CRD#:2882)
• Mony Securities (CRD#:4386)
• MetLife Securities (CRD#:14251)
• Metropolitan Life Insurance Company (CRD#:4095)

Kurta Law Can Help

If you worked with Kevin O’Sullivan and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.