Daniel P O'sullivan

Current Employers

Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2015-07-13

IN RA
APPROVED

Since 2015-07-13

Branch Locations

Zionsville, IN • United States

5692 Georgetown Road, Indianapolis, IN 46254 • United States

8301 N. Michigan Road, Indianapolis, IN 46268 • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fifth Third Securities	Cleveland	OH	03/2012	Present

03/2012 → Present

Fifth Third Securities

Cleveland, OH

Previous Registrations

2009-10-23 → 2012-02-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

New Haven, CT

Melville, NY

New York, NY

Greenwich, CT

Melville, NY

New York, NY
2008-04-22 → 2009-10-23

Banc Of America Investment Services, Inc.

New York, NY

Greenwich, CT

Melville, NY

New Haven, CT
2007-05-29 → 2008-05-01

Citigroup Global Markets Inc.

New York, NY
2004-12-07 → 2007-05-29

Citicorp Investment Services

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-08-12
S63	Uniform Securities Agent State Law Examination	1995-06-06

S65 Uniform Investment Adviser Law Examination

2002-08-12
S63 Uniform Securities Agent State Law Examination

1995-06-06

Other Names

Daniel Peter Osullivan
Daniel Pe Osullivan
Daniel Pe O'SUllivan
Daniel Peter O'SUllivan

View on SEC IAPD