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Caroline Dolores Sullivan

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·NEW YORK, New York
Series 27Clean recordMERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ONE BRYANT PARK, NEW YORK, NY 10036CRD# 4913035Firm CRD# 7691

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Caroline Dolores Sullivan · NEW YORK, NY
Registration
CRD #4913035 · MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
Series 27
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 801-14235
AUM
$1271.6B
Regulatory assets under management
Employees
34,934
2,911,578 client accounts
Services offered by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Per Form ADV
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Charitable organization or education services
Other
Client types served by the firm
Per Form ADV
Individuals
Nonprofits & Foundations
View all advisors at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED →
Introduction

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Frequently Asked Questions

What services does Caroline Dolores Sullivan offer?
Caroline Dolores Sullivan specializes in Investment Management, Wealth Management. Contact their office in NEW YORK, New York for a consultation.
What are Caroline Dolores Sullivan's credentials?
Caroline Dolores Sullivan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Caroline Dolores Sullivan located?
Caroline Dolores Sullivan is based in NEW YORK, New York, working with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Their office serves clients in the NEW YORK metropolitan area and surrounding communities.
How does Caroline Dolores Sullivan charge for services?
Caroline Dolores Sullivan's firm is compensated through percentage of aum, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED?
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED has approximately 34934 employees and manages $1271.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Michael Benjamin Radest
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Lorna Rose Sabbia
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Aron Daniel Levine
NEW YORK, NY
Bryan Thomas Weadock
NEW YORK, NY

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