David Joseph Sullivan

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/1990 → Present
  Ubs Financial Services Inc.
  Westport, CT

Other Businesses

1) 14 OAK RIDGE PARK LLC. NOT INVESTMENT RELATED. OAK RIDGE PARK. BUSINESS - LIMITEDLIABILITY CORP. TITLE - MANAGER./START DATE - 11/01/2003. 1HR/MONTH./ DUTIES - PAY EXPENSES. /// 2) NAME OF OTHER BUSINESS: Estate of MGS / INVESTMENT RELATED?:N / ADDRESS: 14 Oak Ridge Park, West Port / NATURE OF THE BUSINESS:I have been appointed the executor of my mother's estate by the Probate Court of Fairfield CT/ POSITION: executor of estate / DUTIES: retitle of assets from individual name to estate and pay all related expenses to estate/ START DATE: 12/27/2022 / HOURS DEVOTED TO BUSINESS: NA 3)State of Connecticut Judical Selection Commission165 Capitol Ave, Suite 1080HartfordUnited StatesConnecticut06106Governmental EntityTo be determined, possible Senator Stephen HardingThe Commission evaluates and recommends qualified candidates for consideration by the Governor for nomination as judges of the State Superior Court, State Appellate Court and State Supreme CourtRole with government body, e.g. executive, legislative, judicial, quasi-judicialreview applications for candidate for judicial appointments and reappointments.Start Date - 8/15/2025

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-06-16
• S63 Uniform Securities Agent State Law Examination
  1990-07-18

Other Names

• David Iii Sullivan