Daniel Sullivan is a registered investment advisor at Morgan Stanley, based in Providence, RI, with 26 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
One Financial Plaza, 19th Floor, Providence, RI, 02903
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
August 2020 - Present · 5 yrs 11 mos
Morgan StanleyBroker
July 2020 - Present · 6 yrs
Previous Registrations
Rosenthal Global Securities LLCBroker
November 2006 - September 2012 · 5 yrs 10 mos
Refco Securities, LLCBroker
February 2005 - November 2005 · 9 mos
Transmarket Group L.L.C.Broker
January 2002 - January 2005 · 3 yrs
Daiwa Securities America INC.Broker
June 2000 - January 2001 · 7 mos
Aubrey G. Lanston & CO., INC.Broker
December 1998 - April 2000 · 1 yr 4 mos
The Nikko Securities CO. International, INC.Broker
January 1998 - September 1998 · 8 mos
Smith Barney INC.Broker
February 1995 - December 1997 · 2 yrs 10 mos
Kidder, Peabody & CO. IncorporatedBroker
April 1994 - January 1995 · 9 mos
Cs First Boston CorporationBroker
May 1989 - March 1994 · 4 yrs 10 mos
State Registrations14 states
CACOCTDCFLMAMENHNYPARITNTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.