CEO Today USA Awards

CEO Today USA Awards 2019 www.ceotodaymagazine.com - M A R Y L A N D - 53 JOE SULLIVAN CEO of Legg Mason Inc. ABOUT JOE SULLIVAN Joseph A. Sullivan is Chairman and Chief Executive Officer of Legg Mason Inc., a global asset management firm listed on the New York Stock Exchange, which has $781.8 billion in assets under management (as of September 30, 2019). Mr. Sullivan is the recipient of Pageant Media and Fund Action’s 2017 “Fund Leader of the Year” award, recognizing his innovation and contributions to the mutual fund industry. Mr. Sullivan also serves on the Board of Governors for the Investment Company Institute (ICI). He previously served as Chair of the Securities Industry Institute, Chair of the Fixed Income Committee of the National Association of Securities Dealers (NASD), a Board Member of the Bond Market Association and as a member of the New York Stock Exchange (NYSE) Hearing Board. Mr. Sullivan joined Legg Mason in September 2008 and, after serving as Head of Global Distribution and Chief Administrative Officer, was appointed interim Chief Executive Officer as of October 2012. Before joining Legg Mason, he served on the Board of Directors of Stifel Financial and as Executive Vice President and Head of Fixed Income Capital Markets for Stifel Nicolaus from December 2005. Mr. Sullivan has 40 years of industry experience, holding prior executive roles at Legg Mason Wood Walker, Dain Bosworth and Piper Jaffray. Mr. Sullivan holds a Bachelor of Arts degree in Economics from St. John’s University and is a graduate of the Securities Industry Institute at the Wharton School of Business at the University of Pennsylvania. Mr. Sullivan is active in public service and committed to improving education by serving or having served as a member of the Board of Trustees for Johns Hopkins Medicine, Johns Hopkins Carey Business School Financial Services Advisory Board, Catholic Charities, St. Ignatius Loyola Academy, Chair of the Board of Trustees of Loyola Blakefield School, and President of the Baltimore Youth Hockey Association. ABOUT LEGG MASON INC. Legg Mason delivered solid oper- ating results highlighted by long- term net inflows, driven by fixed income and alternatives across a wide variety of geographies and channels. Legg Mason’s assets under management as of Septem- ber 30, 2019 were $781.8 billion. A diversified global asset man- agement firm, FOUNDED IN 1899, Headquartered in BALTIMORE, MARYLAND, USA. Performing as a public company for over 35 Years, Over 3,000 Employees. Global network 39 locations worldwide. Serving individual and institutional investors on 6 Conti- nents. Partnership of 9 invest- ment affiliates. Global retail dis- tribution capabilities with leading partners. Common stock traded on the New York Stock Exchange. Whether you’re a financial advi- sor addressing client needs; or you’re running an endowment; or an individual investor planning your financial future, we’re at your side with Global diversity of per- spectives and solutions through our independent affiliates Ability to create strategies to meet more client challenges Dedication to finding opportunities through all market conditions Attentive client-first service. At the heart of Legg Mason is a broader sense of purpose that uplifts our collective performance. We believe that we are helping to enhance the qual- ity of life for all constituents – cli- ents, shareholders, communities and one another. We believe in — and take pride in — everything we do. We never forget that success is hand in hand with integrity, col- laboration and accountability. www.leggmason.com