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Brian Joseph Sullivan

NEW York Life Investment Management LLC

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About Brian Joseph Sullivan

Brian Sullivan is a financial professional with over 17 years of experience in the financial services industry. Brian is currently registered with New York Life Investment Management LLC and holds Series 6, 7, 63, and 65 licenses, as well as the SIE exam. Brian is licensed in 51 states and the District of Columbia. Brian has previously held positions with Northern Lights Distributors, LLC, Purshe Kaplan Sterling Investments, and National Financial Services LLC.

Firm Information

Brian Sullivan is currently registered with NEW York Life Investment Management LLC. NEW York Life Investment Management LLC is an investment advisor based in NEW YORK, NY. It is a registered investment advisor with the SEC and has a total of 1123 accounts under management. The firm provides portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Its assets under management are approximately $109,067,423,343. The firm participates in wrap fee programs.
NEW York Life Investment Management LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$109.07B

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Brian Sullivan’s Registration & Firm History

NY

02/14/2017 - Present

NEW York Life Investment Management LLC (NEW YORK NY)

NE

01/08/2014 - 08/07/2015

NORTHERN LIGHTS DISTRIBUTORS, LLC (ELKHORN NE)

AR

02/20/2008 - 10/21/2008

PURSHE KAPLAN STERLING INVESTMENTS (ROGERS AR)

MA

10/21/1999 - 02/15/2006

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 12/17/2014

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/07/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/08/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/20/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Joseph Sullivan.
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