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Kenneth Edward Sullivan

Morgan Stanley

Los Angeles, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-10-17
CA RA APPROVED 2018-09-10
  • TX RA
    APPROVED
    Since 2018-10-17
  • CA RA
    APPROVED
    Since 2018-09-10

Branch Locations

444 South Flower Street,34Th Floor, Los Angeles, CA 90071 • 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
Rbc Capital Markets Corporation Beverly Hills CA 03/2008 09/2018
Morgan Stanley Los Angeles CA 09/2018 Present
  • 03/2008 → 09/2018
    Rbc Capital Markets Corporation
    Beverly Hills, CA
  • 09/2018 → Present
    Morgan Stanley
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-12
S63 Uniform Securities Agent State Law Examination 1986-11-19
  • S65 Uniform Investment Adviser Law Examination
    1994-05-12
  • S63 Uniform Securities Agent State Law Examination
    1986-11-19
Other Names
  • Kenneth Edward Sullivan

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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