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.
Question & Answer
Aliases
Other business activities
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).
Certified licenses
Experience
March 2, 2026 - Present
SHEARMAN, RALSTON INC.
Office #1: 333 Greenwich Avenue, Greenwich, CT 06830Office #2: 333 Greenwich Avenue, Greenwich, CT 06830April 24, 1980 - Present
SHEARMAN, RALSTON INC.
Office #1: 333 Greenwich Avenue, Greenwich, CT 06830Office #2: 333 Greenwich Avenue, Greenwich, CT 06830State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/17/2014)
(3/2/2026)
(1/17/2024)
(5/5/2004)
(9/7/1981)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/1/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
SHEARMAN, RALSTON INC.
CRD#: 7320 / SEC#: , 8-21190
Contact information
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42 |
| AUM (Assets Under Management) | $ 97,678,492 |
Red Flags
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