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Christopher James Sullivan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

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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_RES 2022-03-21
CA RA APPROVED 2022-03-16
  • TX RA
    APPROVED_RES
    Since 2022-03-21
  • CA RA
    APPROVED
    Since 2022-03-16

Branch Locations

2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • 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
Charles Schwab Columbia MD 06/2018 01/2021
Unemployed Miami FL 11/2017 06/2018
Comcast Miami FL 07/2015 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 11/2021 Present
Unemployed Tempe AZ 02/2021 11/2021
Bank Of America, N.A. Chandler AZ 11/2021 Present
  • 06/2018 → 01/2021
    Charles Schwab
    Columbia, MD
  • 11/2017 → 06/2018
    Unemployed
    Miami, FL
  • 07/2015 → 10/2017
    Comcast
    Miami, FL
  • 11/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chandler, AZ
  • 02/2021 → 11/2021
    Unemployed
    Tempe, AZ
  • 11/2021 → Present
    Bank Of America, N.A.
    Chandler, AZ
Previous Registrations
  • 2018-10-09 → 2021-01-11
    Td Ameritrade, Inc.
    Columbia, MD
    Mesa, AZ
    Columbia, MD
    Mesa, AZ
    Chandler, AZ
  • 2018-10-09 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Mesa, AZ
    Columbia, MD
    Chandler, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-08
  • S66 Uniform Combined State Law Examination
    2018-10-08

View on SEC IAPD

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Other Investors

Aaron D Hyde
Kelly A Luft
ADRIENNE TERENA BORCHERS
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SAMUEL J SMITH
RENEE JEAN HRUSKA
ANDREA MICHELLE MCLELLAND
Christine Lynne Lobdell Raney

Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

More in Chandler, AZ

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