Elaine M. Sullivan
Professional summary
Elaine Moccia Sullivan, who also goes by Elaine Michele Moccia, Elaine Michele Sullivan, Moccia Sullivan, is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts and MORGAN STANLEY DISTRIBUTION, INC. located in Boston, Massachusetts.
Elaine is registered as a RR (Registered Representative) and started their career in finance in 1991. Elaine has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24, Series 53 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elaine Moccia Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2012 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: 1 Post Office Square, Boston, MA 02109December 20, 2023 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1 Post Office Square, Boston, MA 02109December 4, 1995 - September 17, 2012
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 9, 1994 - July 19, 1995
GUARANTY BROKERAGE SERVICES, INC.
August 23, 1993 - June 10, 1994
COLONIAL INVESTMENT SERVICES
November 18, 1991 - August 16, 1993
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
Red Flags
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Company Information
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344Boston, MA 02109TRUST BUT VERIFY
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