Daniel B Sullivan
Investment Adviser Representative at Morgan Stanley
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Daniel B. Sullivan is an investment adviser representative with Morgan Stanley in Providence, RI, where they have been registered since 2020. They have worked in the securities industry since 1999 and have been registered with 10 firms, including Rosenthal Global Securities LLC and Refco Securities, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Rhode Island and Texas.
Office
Advisors at this office: 68
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Rhode Island, Texas
- Broker:
14 states and territories
California, Colorado, Connecticut, District of Columbia, Florida, Maine, Massachusetts, New Hampshire, New York, Pennsylvania, Rhode Island, Tennessee, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Morgan Stanley Smith Barney LLCApr 2020 – no end date reportedProvidence, RI
- Rosenthal Global Securities LLCNov 2006 – Feb 2019New York, NY
- UnemployedFeb 2019 – Apr 2020Barrington, RI
- Morgan Stanley Private BANK, N.A.Sep 2020 – no end date reportedNew York, NY
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Morgan Stanley
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Performance-based fees
- Other
- Firm account minimum
- $10,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 23,008
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Purchase, NY
- SEC file number:
- 801-70103
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 28, 2026
View full firm profileOther advisors at Morgan Stanley
Showing 12 of 23,008 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel B 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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