Daniel A. Sullivan
Professional summary
Daniel A Sullivan is a registered financial professional currently at SHEARMAN, RALSTON INC. located in Greenwich, Connecticut.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1980. Daniel has worked at 1 firm and has passed the 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) - BD
Click below to view Daniel A Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 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)
(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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