Brian J. Sullivan
Professional summary
Brian Joseph Sullivan is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Medfield, Massachusetts and NYLIFE DISTRIBUTORS LLC located in Jersey City, New Jersey.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Joseph Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2017 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 27, 2015 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 30 Hudson Street, Jersey City, NJ 07302November 25, 2014 - November 18, 2015
BRAVER WEALTH MANAGEMENT, LLC
January 8, 2014 - August 7, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
June 12, 2012 - June 10, 2013
F-SQUARED INVESTMENTS, INC
February 22, 2008 - November 24, 2008
ADVISORALLIANCE, LLC
February 20, 2008 - October 21, 2008
PURSHE KAPLAN STERLING INVESTMENTS
October 21, 1999 - February 15, 2006
NATIONAL FINANCIAL SERVICES LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/26/2018)
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(2/27/2018)
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(3/1/2018)
(2/27/2018)
(6/28/2018)
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(3/6/2018)
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(3/5/2018)
(10/28/2015)
(2/14/2017)
(2/28/2018)
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(2/27/2018)
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(2/8/2018)
(2/26/2018)
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(3/1/2018)
(3/5/2018)
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(2/28/2018)
(2/8/2018)
(2/9/2018)
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(3/5/2018)
(2/27/2018)
(3/1/2018)
(2/26/2018)
(2/26/2018)
(2/26/2018)
(2/28/2018)
(3/5/2018)
(2/27/2018)
(2/26/2018)
(2/27/2018)
(3/7/2018)
(2/27/2018)
(2/26/2018)
Exams
FINRA
Current Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
