Matthew T. Sullivan

HARBOR FUNDS DISTRIBUTORS

Paoli, PA

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CRD#: 5417820

Professional summary

Matthew Thomas Sullivan, who also goes by Matt Sullivan, Matthew T Sullivan, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Paoli, Pennsylvania.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matt Sullivan | Matthew T 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) - BD

Click below to view Matthew Thomas Sullivan's 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

November 20, 2023 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506

Paoli, PA

Past

October 24, 2014 - November 1, 2023

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

June 15, 2011 - October 15, 2014

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

June 14, 2011 - October 15, 2014

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

July 9, 2010 - June 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

July 9, 2010 - June 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

May 1, 2010 - June 11, 2010

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

MINNEAPOLIS, MN

Past

May 1, 2010 - June 11, 2010

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

October 18, 2007 - May 1, 2010

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

October 5, 2007 - May 1, 2010

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

State Registrations and Notice Filings

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

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

Alabama
(11/20/2023)

Alaska
(11/20/2023)

Arizona
(11/20/2023)

Arkansas
(11/20/2023)

California
(11/20/2023)

Colorado
(11/20/2023)

Connecticut
(11/20/2023)

Delaware
(11/20/2023)

District of Columbia
(11/20/2023)

Florida
(11/20/2023)

Georgia
(11/20/2023)

Hawaii
(11/20/2023)

Idaho
(11/20/2023)

Illinois
(11/20/2023)

Indiana
(11/20/2023)

Iowa
(11/20/2023)

Kansas
(11/20/2023)

Kentucky
(11/20/2023)

Louisiana
(11/20/2023)

Maine
(11/20/2023)

Maryland
(11/20/2023)

Massachusetts
(11/20/2023)

Michigan
(11/20/2023)

Minnesota
(11/20/2023)

Mississippi
(11/20/2023)

Missouri
(11/20/2023)

Montana
(11/20/2023)

Nebraska
(11/20/2023)

Nevada
(11/20/2023)

New Hampshire
(11/20/2023)

New Jersey
(11/20/2023)

New Mexico
(11/20/2023)

New York
(11/20/2023)

North Carolina
(11/20/2023)

North Dakota
(11/20/2023)

Ohio
(11/20/2023)

Oklahoma
(11/20/2023)

Oregon
(11/20/2023)

Pennsylvania
(11/20/2023)

Puerto Rico
(11/20/2023)

Rhode Island
(11/20/2023)

South Carolina
(11/20/2023)

South Dakota
(11/20/2023)

Tennessee
(11/20/2023)

Texas
(11/20/2023)

Utah
(11/20/2023)

Vermont
(11/20/2023)

Virgin Islands
(11/20/2023)

Virginia
(11/20/2023)

Washington
(11/20/2023)

West Virginia
(11/20/2023)

Wisconsin
(11/20/2023)

Wyoming
(11/20/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Mailing Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Phone number

(312) 443-4420

Established

Delaware since 02/21/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HARBOR CAPITAL ADVISORS, INC.	SHAREHOLDER
HALABY, JOHN STEVE	PRESIDENT AND DIRECTOR	2543904
KUNKEL, JACOB JEFFREY	CHIEF FINANCIAL OFFICER AND TREASURER	6108628
MCCAIN, CHARLES FREDERICK	CHIEF EXECUTIVE OFFICER AND DIRECTOR	4865638
NEE, STEPHANIE ANN	CHIEF COMPLIANCE OFFICER	4968097

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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Advisor Monitoring

Firm Stability Insights

Matthew T. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Thomas Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN CENTURY INVESTMENT SERVICES INC.

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/4/2007

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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