Henry 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
GA	RA	APPROVED	2020-03-27
LA	RA	APPROVED	2015-12-22
TX	RA	APPROVED_RES	1983-08-23

GA RA
APPROVED

Since 2020-03-27
LA RA
APPROVED

Since 2015-12-22
TX RA
APPROVED_RES

Since 1983-08-23

Branch Locations

601 Poydras St, New Orleans, LA 70130 • United States

Mableton, GA • United States

Disclosures

2 disclosure categories 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 Yes
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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New Orleans	LA	10/1978	Present
Bank Of America,Na	New Orleans	LA	12/2009	Present

10/1978 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Orleans, LA
12/2009 → Present

Bank Of America,Na

New Orleans, LA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-05-27

S63 Uniform Securities Agent State Law Examination

1983-05-27

Other Names

Henry Sullivan

View on SEC IAPD

Employer firm

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

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