Kevin Charles Sullivan

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2026-04-08
NY	RA	APPROVED	2021-04-12
TX	RA	APPROVED	2018-06-22

CT RA
APPROVED

Since 2026-04-08
NY RA
APPROVED

Since 2021-04-12
TX RA
APPROVED

Since 2018-06-22

Branch Locations

1266 East Main Street 6Th Floor, Stamford, CT 06902 • United States

1290 Avenue Of The Americas 4Th Fl, 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc.	New York	NY	06/2016	06/2020
Equitable Advisors, Llc	New York	NY	06/2016	Present

06/2016 → 06/2020

Axa Advisors, Llc.

New York, NY
06/2016 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

Caplan Innovations LLC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-02-08
S63	Uniform Securities Agent State Law Examination	2016-07-06

S66 Uniform Combined State Law Examination

2018-02-08
S63 Uniform Securities Agent State Law Examination

2016-07-06

Other Names

Kevin Sullivan

View on SEC IAPD

Current Employers

Equitable Advisors, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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