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Brian Sullivan

Investment Adviser Representative at OSAIC INSTITUTIONS, INC.

N. Lindenhurst, NYCRD #2734412Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
1 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
New York
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/2/2022
Series 63
Uniform Securities Agent State Law Examination
Passed 8/8/2002
Series 62
Corporate Securities Limited Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 55
Limited Representative-Equity Trader Exam
Passed 12/12/2002
Series 7
General Securities Representative Examination
Passed 10/24/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Account minimum: $5,500

Firm-stated minimum; may be waived at the firm's discretion.

Source

Osaic Institutions, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC INSTITUTIONS, INC.Current
6/20/2023N. Lindenhurst, NY
OSAIC INSTITUTIONS, INC.Current
6/20/2023N. Lindenhurst, NY
TD PRIVATE CLIENT WEALTH LLC
9/2/20225/19/2023Melville, NY
CHASE INVESTMENT SERVICES CORP.
10/5/20065/15/2009Brooklyn, NY

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian Sullivan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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