Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Sullivan is a financial advisor with over 28 years of experience in the industry. She currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. Carolyn has extensive experience in the financial services industry and has been a registered representative in New York, Texas, and numerous other states. Carolyn has also held positions at M&T Securities, Inc. and Liberty Securities Corporation. Carolyn offers a range of investment advisory services, including portfolio management for individuals and businesses, performance measurement reports, allocation modeling, and research reports and services. She is also a Certified Financial Planner.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
08/24/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BUFFALO NY)
MD
05/01/1995 - 04/26/2000
M&T SECURITIES, INC. (BALTIMORE MD)
NY
10/18/1993 - 05/01/1995
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
IA
Issued 05/30/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1998
Series 7 - General Securities Representative Examination
BC
Issued 10/15/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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