John Sullivan

Employer firm

Neuberger Berman Bd LLC CRD 2908

Reported services (Item 5G)

Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Neuberger Berman Bd Llc

1290 Avenue Of The Americas, New York, NY 10104 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-15
CA	RA	APPROVED	2019-04-08

NY RA
APPROVED

Since 2021-04-15
CA RA
APPROVED

Since 2019-04-08

Branch Locations

Encinitas, CA • United States

10100 Santa Monica Boulevard Suite 975, Los Angeles, CA 90067 • United States

1290 Avenue Of The Americas, New York, NY 10104 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
State Street Global Advisors Funds Distributors Llc	Boston	MA	05/2015	03/2019
State Street Bank And Trust	Boston	MA	05/2015	01/2017
State Street Global Advisors Trust Company	Boston	MA	01/2017	03/2019
Neuberger Berman	Los Angeles	CA	03/2019	Present

05/2015 → 03/2019

State Street Global Advisors Funds Distributors Llc

Boston, MA
05/2015 → 01/2017

State Street Bank And Trust

Boston, MA
01/2017 → 03/2019

State Street Global Advisors Trust Company

Boston, MA
03/2019 → Present

Neuberger Berman

Los Angeles, CA

Previous Registrations

2013-09-09 → 2015-05-08

J.P. Morgan Securities Llc

Boston, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-08-30

S66 Uniform Combined State Law Examination

2013-08-30

Other Names

John Lawrence Sullivan
John Lawrence Sullivan

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