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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

THOMAS MICHAEL SULLIVAN

Advisor at LPL FINANCIAL LLC

HILLSBOROUGH, NJ

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Search this name across graphsid dfx:ria:104cce48-10fe-517c-cb6f-1c4e684706dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 9, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 6, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 6, 2012
First registration: Jul 9, 2012
Dual registered: yes, broker-dealer
Other names: THOMAS MICHAEL SULLIVAN|THOMAS M SULLIVAN|THOMAS M SULLIVAN
IAPD individual key: 5836100

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 14, 2025	n/a	yes	HILLSBOROUGH, NJ	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jan 3, 2020	Aug 8, 2025	no	HILLSBOROUGH, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 25, 2016	Jan 2, 2020	no	SHORT HILLS, NJ\|MAPLEWOOD, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 30, 2014	Nov 27, 2015	no	CHESTER, NJ\|HILLSBOROUGH, NJ\|LAWRENCEVILLE, NJ\|MORRISTOWN, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 9, 2012	Sep 22, 2014	no	PENNINGTON, NJ\|NEW YORK, NY\|PENNINGTON, NJ\|PENNINGTON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B. RILEY WEALTH ADVISORS, INC.	LPL FINANCIAL LLC	Aug 8, 2025	Jul 14, 2025	-25	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	B. RILEY WEALTH ADVISORS, INC.	Jan 2, 2020	Jan 3, 2020	1	Firm change	Wirehouse to ibd
PNC WEALTH MANAGEMENT	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 27, 2015	Jan 25, 2016	59	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PNC WEALTH MANAGEMENT	Sep 22, 2014	Sep 30, 2014	8	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
129052:7691:NJ:2015-11-19	Nov 27, 2015	Jan 25, 2016	MORRISTOWN, NJ	Firm change

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 14, 2025 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 3, 2020 to Aug 8, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 25, 2016 to Jan 2, 2020factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 30, 2014 to Nov 27, 2015factForm ADV

Dated events

Occurred
Aug 8, 2025
Advisor changed firm
Thomas Michael Sullivan left B. Riley Wealth Advisors, Inc. for Lpl Financial Llc (registered 2025-07-14)
Form ADVobserved 5 days ago