Daniel W. Sullivan

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CRD#: 2113766

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.

Daniel William Sullivan, who also goes by Daniel W Sullivan, David W Sullivan, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1991. Daniel had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel W Sullivan | David W Sullivan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 28, 2006 - October 18, 2016

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

NEW YORK, NY

Past

October 5, 2004 - June 28, 2006

BLACKROCK CAPITAL MANAGEMENT, INC.

RIA

CRD#: 108069

NEW YORK, NY

Past

April 10, 2002 - October 18, 2016

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

February 29, 2000 - August 3, 2001

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

March 7, 1997 - September 29, 1999

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

September 15, 1993 - February 6, 1997

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

March 8, 1991 - September 15, 1993

TNE INVESTMENT SERVICES CORPORATION

CRD#: 14560

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BLACKROCK FINANCIAL MANAGEMENT, INC

CRD#: 107105 / SEC#: 801-48433

RIA

Registered Investment Advisory firm - (2/28/1995 Approved)

Oklahoma

Registered Investment Advisory firm - (3/31/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/12/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1991

General Securities Representative Examination

Current Firm

BLACKROCK FINANCIAL MANAGEMENT, INC

CRD#: 107105 / SEC#: 801-48433

RIA

Registered Investment Advisory firm - (2/28/1995 Approved)

Oklahoma

Registered Investment Advisory firm - (3/31/2006 Terminated)

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Contact information

Main Address

50 Hudson Yards, New York, NY 10001

Mailing Address

Phone number

(212) 810-5300

Established

Firm type

Fiscal year end

# of Employees

7,410

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLACKROCK FINANCIAL MANAGEMENT, INC. - BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	2,269
AUM (Assets Under Management)	$ 1,327,868,750,254

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
10/24/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Firm Stability Insights

Daniel W. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKROCK CAPITAL MANAGEMENT, INC.

BLACKROCK INVESTMENTS, LLC

GUGGENHEIM DISTRIBUTORS, LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

NATIXIS DISTRIBUTION, LLC

TNE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

BLACKROCK FINANCIAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/12/2004

Series 63

Date: 3/25/1996

SIE

Date: 10/18/2016

Series 7

Date: 2/19/1991

Current Firm

BLACKROCK FINANCIAL MANAGEMENT, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BLACKROCK FINANCIAL MANAGEMENT, INC

TRUST BUT VERIFY

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