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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

BRIAN JOSEPH SULLIVAN

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Medfield, MA | NEW YORK, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2008 to Sep 15, 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: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 22, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 7, 2012
First registration: Feb 22, 2008
Dual registered: yes, broker-dealer
Other names: BRIAN JOSEPH SULLIVAN
IAPD individual key: 4039675

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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	Feb 14, 2017	n/a	yes	NEW YORK, NY\|Medfield, MA	Current employment
BRAVER WEALTH MANAGEMENT, LLC	Former SEC adviser	Nov 25, 2014	Nov 18, 2015	no	NEEDHAM, MA	Previous registration
F-SQUARED INVESTMENTS, INC	Former SEC adviser	Jun 12, 2012	Jun 10, 2013	no	FOXBORO, MA	Previous registration
ADVISORALLIANCE, LLC	n/a	Feb 22, 2008	Nov 24, 2008	no	WESTWOOD, MA	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
BRAVER WEALTH MANAGEMENT, LLC	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Nov 18, 2015	Feb 14, 2017	454	Firm change after gap	Other
F-SQUARED INVESTMENTS, INC	BRAVER WEALTH MANAGEMENT, LLC	Jun 10, 2013	Nov 25, 2014	533	Firm change after gap	Other
ADVISORALLIANCE, LLC	F-SQUARED INVESTMENTS, INC	Nov 24, 2008	Jun 12, 2012	1,296	Firm change after gap	Other

Relationships

Registered with (4)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Feb 14, 2017 to presentfactForm ADV
→ BRAVER WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 25, 2014 to Nov 18, 2015factForm ADV
→ F-SQUARED INVESTMENTS, INCRegistered adviserregistration: previous registration
Jun 12, 2012 to Jun 10, 2013factForm ADV
→ ADVISORALLIANCE, LLCRegistered adviserregistration: previous registration
Feb 22, 2008 to Nov 24, 2008factForm ADV

Dated events

No dated event names this entity yet.