Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Edward Sullivan is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Sullivan has been in the financial services industry since August 12, 1982. Sullivan is registered in 26 states and the District of Columbia as well as with FINRA, the Texas State Securities Board, and the New York State Department of Financial Services. Sullivan is also a trustee for Winthrop University Hospital.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
01/25/1988 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
BC
Issued 11/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/1985
Series 3 - National Commodity Futures Examination
BC
Issued 09/24/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 04/10/1976
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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