Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex M Sullivan is a financial advisor with over 19 years of experience in the financial services industry. Alex is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since March 2024. Alex has held previous positions with Morgan Stanley, Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Alex has a broad range of experience in the financial services industry, including investment consulting, financial planning, and portfolio management. Alex is dedicated to providing clients with personalized financial advice and helping them achieve their financial goals. Alex holds the Series 7, Series 31, and Series 66 licenses. Alex is also registered in 28 states and has a wide range of experience in the financial services industry.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
03/15/2024 - Present
Wells Fargo Clearing Services, LLC (WORCESTER MA)
MA
06/01/2009 - 03/26/2024
MORGAN STANLEY (Westborough MA)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WORCESTER MA)
MA
06/02/2004 - 04/02/2007
MORGAN STANLEY DW INC. (WORCESTER MA)
BOTH
Issued 07/01/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/01/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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