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Thomas Richard Sullivan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rockford, IL

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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 2006-09-20
IL RA APPROVED 1998-04-12
  • TX RA
    APPROVED
    Since 2006-09-20
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

973 Featherstone Rd, Rockford, IL 61107 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rockford IL 07/1993 Present
Bank Of America, N.A. Rockford IL 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-01
S63 Uniform Securities Agent State Law Examination 1993-09-21
  • S65 Uniform Investment Adviser Law Examination
    1994-03-01
  • S63 Uniform Securities Agent State Law Examination
    1993-09-21
Other Names
  • Tom Sullivan
  • Thomas Sullivan
  • Thomas Richard Sulivan

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · ROCKFORD, IL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROCKFORD, IL
AMERIPRISE FINANCIAL SERVICES, LLC · Rockford, IL
STACKSTONE WEALTH, LLC · ROCKFORD, IL
EDWARD JONES · ROCKFORD, IL
STATE FARM INVESTMENT MANAGEMENT CORP. · Rockford, IL
FIFTH THIRD SECURITIES, INC. · ROCKFORD, IL
LPL FINANCIAL LLC · ROCKFORD, IL

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