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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Sullivan is an investment advisor representative with Morgan Stanley. Thomas has been in the financial services industry since 1980 and has experience with a wide range of financial products and services. Thomas holds Series 5, 63, 65, and 7 licenses and the SIE exam. Thomas has been registered with Morgan Stanley since 2009. Prior to that, Thomas worked with Citigroup Global Markets and Lehman Brothers. Thomas is also a landlord for a rental property in Granby, Connecticut.
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
CT
05/05/2020 - Present
Morgan Stanley (West Hartford CT)
CT
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WEST HARTFORD CT)
NY
05/23/1980 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 11/17/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/17/1980
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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