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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary ann? Claim Your ProfileMary ann Sullivan is a financial advisor with over 30 years of experience in the financial services industry. Mary ann is currently registered with Morgan Stanley in Walnut Creek, CA. Prior to joining Morgan Stanley, Mary ann was with Wells Fargo Clearing Services, LLC in San Francisco, CA. Mary ann holds the Series 7, Series 63 and Series 65 licenses. Mary ann is a Chartered Financial Consultant. Mary ann specializes in providing financial advice to individuals, families, businesses, and institutions. Mary ann's areas of expertise include investment management, retirement planning, estate planning, and insurance. Mary ann is dedicated to providing her clients with personalized financial advice that meets their individual needs and goals.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
10/08/2018 - Present
Morgan Stanley (Walnut Creek CA)
CA
02/10/2017 - 10/04/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
08/11/2015 - 07/05/2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SAN FRANCISCO CA)
CA
09/20/2012 - 07/23/2015
SECURIAN FINANCIAL SERVICES, INC. (SAN MATEO CA)
CA
12/13/2011 - 09/10/2012
AMERIPRISE FINANCIAL SERVICES, INC. (REDWOOD CITY CA)
CA
07/15/2011 - 10/28/2011
FORESIDE FUND SERVICES, LLC (MOUNTAIN VIEW CA)
NE
06/15/2009 - 03/18/2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)
CA
11/20/2006 - 11/19/2008
ATEL SECURITIES CORPORATION (SAN FRANCISCO CA)
CA
03/15/2004 - 11/16/2006
WM FUNDS DISTRIBUTOR, INC. (EL DORADO HILLS CA)
CA
11/11/2003 - 02/25/2004
FORESTERS EQUITY SERVICES, INC. (SAN DIEGO CA)
MA
09/22/2001 - 11/10/2003
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
07/13/1995 - 10/05/2001
CAREY FINANCIAL CORPORATION (NEW YORK NY)
NY
03/17/1993 - 02/23/1995
RELATED EQUITIES CORPORATION (NEW YORK NY)
CA
02/05/1990 - 03/04/1993
PHOENIX SECURITIES, INC. (SAN RAFAEL CA)
NY
08/22/1989 - 01/31/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 05/20/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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