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DS

Daniel S. Sullivan

FORESIDE FINANCIAL SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 6014564
DS

Professional summary

Daniel Shoffner Sullivan, who also goes by Daniel Sullivan, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Portland, Maine.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel 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 Daniel Shoffner 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

May 22, 2026 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 148477
Portland, ME
Past

June 30, 2022 - November 3, 2025

VEST SECURITIES, LLC

BD
CRD#: 317379
MCLEAN, VA
Past

November 15, 2021 - June 30, 2022

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA
Past

February 25, 2020 - November 16, 2021

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

February 11, 2020 - November 16, 2021

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

January 30, 2020 - November 16, 2021

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

January 7, 2014 - July 6, 2018

PARAMETRIC PORTFOLIO ASSOCIATES

RIA
CRD#: 114310
SEATTLE, WA
Past

October 19, 2012 - January 29, 2014

EATON VANCE MANAGEMENT

RIA
CRD#: 104859
BOSTON, MA
Past

May 9, 2012 - July 6, 2018

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/30/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/18/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/12/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477Portland, ME 04101

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