Mary Ann Sullivan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Ann Sullivan, ChFC®, CLU®, who also goes by Mary Ann Kelly, Mary Ann Sullivan, was a registered financial professional .
Mary Ann is a previously registered financial professional and started their career in finance in 1989. Mary Ann had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2018 - June 6, 2025
MORGAN STANLEY
October 8, 2018 - June 6, 2025
MORGAN STANLEY
February 10, 2017 - October 4, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 10, 2017 - October 4, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2015 - July 5, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 11, 2015 - July 5, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 21, 2012 - July 23, 2015
SECURIAN FINANCIAL SERVICES, INC.
September 20, 2012 - July 23, 2015
SECURIAN FINANCIAL SERVICES, INC.
December 13, 2011 - September 10, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2011 - September 10, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 2011 - October 28, 2011
FORESIDE FUND SERVICES, LLC
June 15, 2009 - March 18, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 28, 2009 - May 28, 2009
EFFICIENT MARKET ADVISORS, LLC
November 20, 2006 - November 19, 2008
ATEL SECURITIES CORPORATION
March 15, 2004 - November 16, 2006
PRINCIPAL FUNDS DISTRIBUTOR, INC.
November 11, 2003 - February 25, 2004
FORESTERS EQUITY SERVICES, INC.
September 22, 2001 - November 10, 2003
MML INVESTORS SERVICES, LLC
July 13, 1995 - October 5, 2001
CAREY FINANCIAL, LLC
March 17, 1993 - February 23, 1995
RELATED EQUITIES CORPORATION
February 5, 1990 - March 4, 1993
PHOENIX SECURITIES, INC.
August 22, 1989 - January 31, 1990
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
