Kelly B. Sullivan
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.
Kelly Bryant Sullivan, CFP® was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1982. Kelly had worked at 3 firms and has passed the Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 1996 - January 11, 2021
DUNCKER STREETT & CO.
June 14, 1985 - February 8, 1993
STERN BROTHERS & CO.
April 22, 1982 - June 13, 1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
DUNCKER STREETT & CO.
CRD#: 110828 / SEC#: 801-58224
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DUNCKER STREETT & CO.
CRD#: 110828 / SEC#: 801-58224
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 417 |
| AUM (Assets Under Management) | $ 665,007,476 |
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.
