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David Matthew Sullivan

Tiaa-Cref Individual & Institutional Services, LLC

Portsmouth, NH

Portland, ME

Exeter, NH

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Current Employers
Tiaa-Cref Individual & Institutional Services, Llc

730 Third Avenue, New York, NY 10017-3206 • United States

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2025-08-25
NH RA APPROVED 2024-06-25
ME RA APPROVED 2014-05-16
  • VT RA
    APPROVED
    Since 2025-08-25
  • NH RA
    APPROVED
    Since 2024-06-25
  • ME RA
    APPROVED
    Since 2014-05-16

Branch Locations

155 Fleet Street Office 315, Portsmouth, NH 03801 • United States

4 City Center 2Nd Floor, Portland, ME 04101 • United States

Exeter, NH • 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
OrganizationCityStateFromTo
Tiaa Portland ME 04/2014 Present
Tiaa-Cref Individual & Institutional Services, Llc Portland ME 04/2014 Present
Previous Registrations
  • 2003-03-18 → 2008-11-18
    Strategic Advisers Llc
    Boston, MA
  • 2005-04-27 → 2007-03-28
    Fidelity Personal Trust Company, Fsb
    Merrimack, NH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-04
S66 Uniform Combined State Law Examination 2002-12-20
S63 Uniform Securities Agent State Law Examination 1996-07-02
  • S65 Uniform Investment Adviser Law Examination
    2014-06-04
  • S66 Uniform Combined State Law Examination
    2002-12-20
  • S63 Uniform Securities Agent State Law Examination
    1996-07-02
Other Names
  • Dave Sullivan
  • Davey Sullivan
  • Sully Sullivan

View on SEC IAPD

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