Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Gregory Sullivan is an investment professional with over 30 years of experience in the financial services industry. Sullivan is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where he has been employed since November 2012. Before that, Sullivan was employed by Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, Morgan Stanley & Co., Incorporated and other firms. Sullivan holds Series 7, 63, and 65 licenses, as well as the SIE exam. Sullivan's experience and qualifications allow him to provide investment advice to a wide range of clients, including individuals, corporations, and institutions. Sullivan provides a number of services to his clients, including portfolio management, investment planning, and financial planning.
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
TN
12/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NASHVILLE TN)
IL
01/17/2003 - 12/19/2012
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
NJ
07/03/2001 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
06/02/2000 - 06/08/2001
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
CT
02/20/1999 - 04/11/2000
ABN AMRO INCORPORATED (STAMFORD CT)
IL
06/07/1993 - 01/04/1999
ABN AMRO INVESTMENT SERVICES, INC. (CHICAGO IL)
NA
11/21/1988 - 01/01/1990
ATLAS FINANCIAL GROUP, INC.
NA
08/20/1987 - 02/09/1989
GREYCLIFFE SECURITIES, INC.
NA
02/09/1987 - 07/21/1987
KMS FINANCIAL SERVICES, INC.
NA
04/02/1984 - 02/09/1987
FIRST COLUMBIA CORPORATION
IA
Issued 07/06/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1993
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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