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Robert J Sullivan

Morgan Stanley

Chicago, IL

Glenview, IL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-11-03
IL RA APPROVED 2022-09-02
  • TX RA
    APPROVED
    Since 2022-11-03
  • IL RA
    APPROVED
    Since 2022-09-02

Branch Locations

233 South Wacker Drive Suite 8600, Chicago, IL 60606 • United States

2700 Patriot Boulevard Suite150, Glenview, IL 60026 • 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
Northern Trust Securities, Inc. Lake Forest IL 06/2010 06/2017
Morgan Stanley Smith Barney Llc Glenview IL 08/2022 Present
Pnc Financial Services Inc. Chicago IL 06/2017 08/2022
Morgan Stanley Private Bank, N.A. New York NY 11/2022 Present
  • 06/2010 → 06/2017
    Northern Trust Securities, Inc.
    Lake Forest, IL
  • 08/2022 → Present
    Morgan Stanley Smith Barney Llc
    Glenview, IL
  • 06/2017 → 08/2022
    Pnc Financial Services Inc.
    Chicago, IL
  • 11/2022 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-09
S65 Uniform Investment Adviser Law Examination 1999-10-22
S63 Uniform Securities Agent State Law Examination 1999-10-15
  • S66 Uniform Combined State Law Examination
    2022-08-09
  • S65 Uniform Investment Adviser Law Examination
    1999-10-22
  • S63 Uniform Securities Agent State Law Examination
    1999-10-15
Other Names
  • Robert Joseph Sullivan
  • Joe Sullivan
  • Robert Joseph Sullivan

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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