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Howard Sullivan

Chief Legal Officer at Manulife Investment Management Private Markets (US)

Broker registration; no current adviser registration

Howard Sullivan is Chief Legal Officer of Manulife Investment Management Private Markets (US) LLC, a Boston investment adviser managing $48.3B. Howard Sullivan has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

5
Licensing exams

From the IAPD record · data retrieved 17 October 2026 · page updated 20 October 2026SEC record

Career

Howard Sullivan has been Chief Legal Officer of Manulife Investment Management Private Markets (US) since February 2024. Howard Sullivan is a control person of the firm and directly owns under 5% of it.

Manulife Investment Management Private Markets (US) LLC is a Boston, MA firm with $48.3B under management, 63 clients and 119 advisers across 12 offices, as of its March 2026 filing.

No adviser firm registrations are on Howard Sullivan’s record.

Credentials and registrations

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
Series 7TO2 January 2023
Name
General Securities Representative Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 6311 September 2015
Name
Uniform Securities Agent State Law Examination
Series 2419 August 2013
Name
General Securities Principal Examination
Series 724 September 2001
Name
General Securities Representative Examination

Individual record

Full name
Howard Edwards Sullivan
CRD
4394524

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Howard Sullivan work?

Howard Sullivan has been Chief Legal Officer of Manulife Investment Management Private Markets (US) LLC since February 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 March 2026

Does Howard Sullivan have a current investment-adviser registration?

Howard Sullivan has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 17 October 2026

What exams has Howard Sullivan passed?

Howard Sullivan has passed 5 licensing exams: the Series 7, Series 24, Series 63, Series 99TO and Series 7TO. The earliest, the Series 7, was passed in September 2001. FINRA credited Howard Sullivan with the SIE, which began in October 2018.

Source: IAPD individual record, checked 17 October 2026

Leadership at Manulife Investment Management Private Markets (US)

Sources

  1. IAPD individual record, CRD 4394524. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Manulife Investment Management Private Markets (US) LLC, filed 31 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

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