Daniel J. Sullivan

EATON VANCE MANAGEMENT

Elmhurst, IL

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CRD#: 4549296

Professional summary

Daniel John Sullivan is a registered financial advisor currently at EATON VANCE MANAGEMENT located in Elmhurst, Illinois and EATON VANCE DISTRIBUTORS, INC. located in Cherry Hills Village, Colorado.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Daniel John Sullivan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 27, 2016 - Present

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

Elmhurst, IL

Current

June 24, 2016 - Present

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

CHERRY HILLS VILLAGE, CO

Past

June 11, 2008 - June 20, 2016

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

April 28, 2005 - June 10, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

DALLAS, TX

Past

January 9, 2003 - June 20, 2016

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

ANDOVER, MA

Past

September 20, 2002 - October 18, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 20, 2002 - October 18, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(6/24/2016)

Iowa
(6/2/2017)

IAR

Massachusetts
(6/27/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/25/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 Approved)

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Contact information

Main Address

One Post Office Square, Boston, MA 02109

Mailing Address

Phone number

(617) 482-8260

Established

Firm type

Fiscal year end

# of Employees

247

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVM FORM ADV PART 2A BROCHURE (6/18/2025)

Regulatory assets under management

Total Number of Accounts	4,053
AUM (Assets Under Management)	$ 84,879,368,900

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 J. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

EATON VANCE DISTRIBUTORS, INC.

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EATON VANCE MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/2005

Series 63

Date: 7/24/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/19/2002

FINRA

Current Firm

EATON VANCE MANAGEMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EATON VANCE MANAGEMENT

TRUST BUT VERIFY

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