Michael G. Sullivan

Some features on this profile are disabled

CRD#: 1013537

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Giles Sullivan was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SULLIVAN-PARKHILL AUTOMOTIVE 100 WEST ANTHONY DRIVE CHAMPAIGN, IL 61820 THE BUSINESS IS AN AUTOMOBILE DEALERSHIP AND IS NOT INVESTMENT-RELATED. THIS IS A FAMILY BUSINESS AND I HAVE BEEN A SHAREHOLDER FOR 30+ YEARS. I WORK APPROXIMATELY 100 HOURS EACH YEAR AND RECEIVE NO COMPENSATION FOR MY WORK.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 5, 2014 - November 12, 2024

RIVERBEND CAPITAL ADVISORS, LLC

RIA

CRD#: 157117

CHICAGO, IL

Past

May 11, 2010 - December 23, 2010

KILEY PARTNERS, INC.

CRD#: 37814

HENDERSON, NV

Past

May 29, 2007 - July 8, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

CHICAGO, IL

Past

March 2, 1998 - December 13, 2006

RBC CAPITAL MARKETS, LLC

CRD#: 31194

CHICAGO, IL

Past

January 24, 1995 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

June 28, 1991 - November 14, 1994

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

CHICAGO, IL

Past

November 17, 1981 - May 17, 1991

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RIVERBEND CAPITAL ADVISORS, LLC

CRD#: 157117 / SEC#: 801-72250

RIA

Registered Investment Advisory firm - (4/8/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Current Firm

RIVERBEND CAPITAL ADVISORS, LLC

CRD#: 157117 / SEC#: 801-72250

RIA

Registered Investment Advisory firm - (4/8/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

191 N. Wacker Drive Suite 875, Chicago, IL 60606

Mailing Address

Phone number

(312) 948-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVERBEND CAPITAL ADVISORS PART 2A BROCHURE JULY 2025 (7/22/2025)

Regulatory assets under management

Total Number of Accounts	233
AUM (Assets Under Management)	$ 820,471,173

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael G. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KILEY PARTNERS, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

CLAYTON BROWN & ASSOCIATES, INC.

INVESCO CAPITAL MARKETS, INC.

Primary Firm SEC Registration

RIVERBEND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/25/2013

Series 63

Date: 10/1/1982

Series 7

Date: 10/17/1981

Current Firm

RIVERBEND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERBEND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors