Daniel B Sullivan

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-01-18
RI	RA	APPROVED	2020-08-21

TX RA
APPROVED_RES

Since 2023-01-18
RI RA
APPROVED

Since 2020-08-21

Branch Locations

One Financial Plaza 19Th Floor, Providence, RI 02903 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Providence	RI	04/2020	Present
Rosenthal Global Securities Llc	New York	NY	11/2006	02/2019
Unemployed	Barrington	RI	02/2019	04/2020
Morgan Stanley Private Bank, N.A.	New York	NY	09/2020	Present

04/2020 → Present

Morgan Stanley Smith Barney Llc

Providence, RI
11/2006 → 02/2019

Rosenthal Global Securities Llc

New York, NY
02/2019 → 04/2020

Unemployed

Barrington, RI
09/2020 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-08-21
S63	Uniform Securities Agent State Law Examination	1990-04-24

S66 Uniform Combined State Law Examination

2020-08-21
S63 Uniform Securities Agent State Law Examination

1990-04-24

Other Names

Daniel Bernard Sullivan
Daniel Bernard Sullivan

View on SEC IAPD

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