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John Paul Shea Sullivan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-01-08
NC RA APPROVED 2017-10-17
  • TX RA
    APPROVED
    Since 2018-01-08
  • NC RA
    APPROVED
    Since 2017-10-17

Branch Locations

13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • 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- Cref Individual & Institutional Services, Llc Charlotte NC 01/2016 07/2017
Tiaa Charlotte NC 01/2016 07/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 07/2017 Present
Bank Of America, N.A. Charlotte NC 09/2017 Present
  • 01/2016 → 07/2017
    Tiaa- Cref Individual & Institutional Services, Llc
    Charlotte, NC
  • 01/2016 → 07/2017
    Tiaa
    Charlotte, NC
  • 07/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 09/2017 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-16
S63 Uniform Securities Agent State Law Examination 2016-02-11
  • S66 Uniform Combined State Law Examination
    2017-10-16
  • S63 Uniform Securities Agent State Law Examination
    2016-02-11
Other Names
  • John Paul Shea Sullivan
  • John Paul Sullivan

View on SEC IAPD

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