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Andrew T Sullivan

Rockefeller Financial LLC

Cincinnati, OH

Chicago, IL

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-03-23
TX RA APPROVED 2021-03-19
  • OH RA
    APPROVED
    Since 2021-03-23
  • TX RA
    APPROVED
    Since 2021-03-19

Branch Locations

3825 Edwards Road - Suite 630, Cincinnati, OH 45209 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • 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 Cincinnati OH 05/2011 03/2021
Bank Of America, N.A. Cincinnati OH 07/2011 03/2021
Rockefeller Financial Llc Cincinnati OH 03/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-10
  • S66 Uniform Combined State Law Examination
    2010-03-10
Other Names
  • Andrew Thomas Sullivan

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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