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Terry Francis Sullivan

UBS Securities LLC

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About Terry Francis Sullivan

Terry Sullivan is a financial advisor with over 20 years of experience in the industry. Terry is currently registered with UBS Securities LLC, located in New York, New York, and previously worked with Victory Capital Advisors, Inc. and Morgan Stanley & Co. LLC. Terry is a Series 7, 24, 63 and 79TO licensed financial advisor with the ability to serve individuals and families in various aspects of financial planning.

Firm Information

Terry Sullivan is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

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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Terry Sullivan’s Registration & Firm History

NY

03/22/2019 - Present

UBS Securities LLC (New York NY)

OH

10/15/2018 - 03/01/2019

VICTORY CAPITAL ADVISERS, INC. (BROOKLYN OH)

NY

11/25/2003 - 07/03/2017

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

11/06/2002 - 11/18/2003

PUTNAM LOVELL NBF SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/30/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/29/2019

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 07/03/2017

SIE - Securities Industry Essentials Examination

BC

Issued 11/05/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Terry Francis Sullivan.
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