Daniel A Sullivan
Professional Summary
Daniel A Sullivan is a registered financial advisor currently at SHEARMAN, RALSTON INC. located in Greenwich, Connecticut. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Daniel has worked at 1 firm and has passed the Series 65, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
SHEARMAN, RALSTON INC.
Contact Information
Main Address
333 Greenwich Avenue, Greenwich, CT 06830Mailing Address
333 Greenwich Avenue, Greenwich, CT 06830Phone Number
(203) 489-3902Established
New York since 10/15/1976Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
4FINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
42AUM (Assets Under Management)
$97,678,492Similar Advisors
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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.
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State Registrations and Notice Filings
(3/17/2014)
(3/2/2026)
(1/17/2024)
(5/5/2004)
(9/7/1981)
(5/7/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel A Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel A Sullivan's CRS (Customer Relationship Summary).
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