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Elaine Moccia Sullivan

Morgan Stanley Distribution, Inc.

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About Elaine Moccia Sullivan

Elaine Moccia Sullivan is a financial advisor with over 30 years of experience in the industry. Elaine is currently registered with Morgan Stanley Distribution, Inc. and Eaton Vance Distributors, Inc. Elaine holds a variety of licenses and certifications, including Series 6, 7, 24, 53, and 63. Elaine is also a Registered Principal. Elaine has a long history of working with clients in a variety of investment areas.

Firm Information

Elaine Sullivan is currently registered with Morgan Stanley Distribution, Inc.. Morgan Stanley Distribution, Inc. is a Corporation formed in February 1992. The firm is registered with the SEC and in all 50 states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

78

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.

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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Elaine Sullivan’s Registration & Firm History

MA

12/20/2023 - Present

Morgan Stanley Distribution, Inc. (Boston MA)

MA

12/04/1995 - 09/17/2012

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

MN

06/09/1994 - 07/19/1995

CORELINK FINANCIAL, INC. (ST. CLOUD MN)

NA

08/23/1993 - 06/10/1994

COLONIAL INVESTMENT SERVICES

MA

11/18/1991 - 08/16/1993

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

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Licenses & Designations

BC

Issued 10/14/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/30/2007

Series 24 - General Securities Principal Examination

BC

Issued 03/27/2003

Series 53 - Municipal Securities Principal Examination

BC

Issued 11/08/1996

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/2002

Series 7 - General Securities Representative Examination

BC

Issued 11/15/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Elaine Moccia Sullivan.
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