Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Sullivan is a financial advisor at Tiaa-Cref Individual & Institutional Services, LLC, with over 24 years of experience in the financial services industry. David has a broad range of experience, and is licensed to offer investment advice in several states. David has a strong understanding of the investment industry, having worked for a number of well-known financial institutions including Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. David holds a variety of licenses, including Series 6, 7, 9, 10, 63, 65 and 66.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
ME
06/25/2024 - Present
Tiaa-Cref Individual & Institutional Services, LLC (PORTLAND ME)
MA
10/18/2010 - 10/10/2012
FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)
NH
05/15/2001 - 11/18/2008
FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)
RI
02/22/2001 - 05/15/2001
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
01/11/2001 - 02/22/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
RI
06/14/1996 - 01/11/2001
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 06/04/2014
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/20/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/04/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1998
Series 7 - General Securities Representative Examination
BC
Issued 06/13/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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