Patrick R Sullivan

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-10-04
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED	2013-11-07

NJ RA
APPROVED

Since 2024-10-04
NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED

Since 2013-11-07

Branch Locations

Summit, NJ • United States

225 Liberty St, New York, NY 10281 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	06/2013	Present
Bank Of America, N.A.	New York	NY	06/2013	Present

06/2013 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
06/2013 → Present

Bank Of America, N.A.

New York, NY

Other Businesses

I*1305258 For profit or not for profit: Entity For Profit Name of outside business organization: GWC Partners Investment related: N Address of business: Summit, New Jersey, 07901, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 6/1/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Looking at small business opportunities for investments- i will not receive any compensation for management fees or anything of that nature- just hoping what we invest in goes up over time.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-10-15

S66 Uniform Combined State Law Examination

2013-10-15

View on SEC IAPD