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Detailed Report
DANIEL JOSEPH SULLIVAN
CRD#: 1274817
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Investment Adviser
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Previous Broker
SULLIVAN RETIREMENT RESOURCES, LLCCRD#: 293997 850 FRANKLIN STREET
SUITE 12A
WRENTHAM, MA 02093
Registration History
1985199019952000200520102015202020252 FIRMS2004 - 2005 (<1 year)2 FIRMS2005 - 2007 (1 year)2 FIRMS2012 - 2018 (5 years)IASULLIVAN RETIREMENT RESOURCES, LLC (CRD# 293997)2018 - Present (6 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2007 - 2012 (5 years)BQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (2 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1995 - 2002 (7 years)BINVEST FINANCIAL CORPORATION (CRD# 12984)1992 - 1995 (2 years)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1991 - 1992 (1 year)BW.H. NEWBOLD'S SON & CO., INC. (CRD# 7575)1990 - 1991 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1989 - 1990 (<1 year)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1984 - 1989 (5 years)IAQUICK & REILLY, INC. (CRD# 11217)2004 - 2004 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2000 - 2002 (2 years)
Disclosure(s)
View By:
1/4/2010
Customer Dispute
Settled
3/15/2005
Customer Dispute
Denied
7/26/2004
Customer Dispute
Closed-No Action
12/4/2000
Customer Dispute
Settled
License(s)

State Registrations

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Massachusetts 7/17/2018
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New Jersey 9/24/2018
Current Registration(s)
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SULLIVAN RETIREMENT RESOURCES, LLC (CRD#:293997)
850 FRANKLIN STREET SUITE 12A, WRENTHAM, MA 02093
Registered with this firm since 7/17/2018
Previous Registration(s)
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 10/03/2012 - 05/10/2018 IC ADVISORY SERVICES, INC. (CRD#:140190) ARLINGTON, MA
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 06/08/2012 - 05/10/2018 THE INVESTMENT CENTER, INC. (CRD#:17839) WRENTHAM, MA
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 03/01/2007 - 06/12/2012 SIGNATOR INVESTORS, INC. (CRD#:468) ARLINGTON, MA
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 05/31/2005 - 01/09/2007 IFMG SECURITIES, INC. (CRD#:14416) NEEDHAM, MA
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 02/14/2005 - 01/09/2007 IFMG SECURITIES, INC. (CRD#:14416) NEEDHAM, MA
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 10/20/2004 - 02/04/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) WESTFORD, MA
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 10/20/2004 - 02/04/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
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 08/31/2004 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) WORCESTER, MA
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 10/21/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
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 02/23/2000 - 11/13/2002 A. G. EDWARDS & SONS, INC. (CRD#:4) KEENE, NH
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 05/25/1995 - 11/13/2002 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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 11/18/1992 - 05/19/1995 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
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 06/11/1991 - 11/12/1992 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
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 04/03/1990 - 05/16/1991 W.H. NEWBOLD'S SON & CO., INC. (CRD#:7575)
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 06/20/1989 - 04/05/1990 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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 06/20/1984 - 06/23/1989 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.