Daniel J. Sullivan

SULLIVAN RETIREMENT RESOURCES

Wrentham, MA 02093

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CRD#: 1274817

Professional summary

Daniel Joseph Sullivan is a registered financial advisor currently at SULLIVAN RETIREMENT RESOURCES, LLC located in Wrentham, Massachusetts.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Daniel has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. MASS COLLEGE FUNDING ALTERNATIVES, LLC CONSULTING SERVICES. NON- INVESTEMNT RELATED. OWNER. ADVISE PROSPECTIVE STUDENTS AND PARENTS THROUGH THE COLLEGE ADMISSION PROCESS. DEVOTE 21 TO 40% PER MONTH. FINANCIAL INTEREST $10,000. EARN 1 TO 20% ANNUALLY. ESTABLISHED 10/01/2011. 2.CF FINANCIAL DBA.INVESTMENT ADVISOR. INVESTMENT AND ANNUITY CONSULTATION WITH CLIENTS.DEVOTE >60% PER MONTH. ESTABLISHED 02/13/2013. 3. CF FINANCIAL. INSURANCE SALES. AGENT. SELL LIFE, LTC & DISABILITY INSURANCE.ZENITH, CRUMP.OHIO NATIONAL PGA. DEVOTE 21 TO 40 % PER MONTH. ESTABLISHED 02/13/2013.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Sullivan's CRS (Customer Relationship Summary).

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

Current

July 17, 2018 - Present

SULLIVAN RETIREMENT RESOURCES, LLC

Office #1: 850 Franklin Street Suite 12a, Wrentham, MA 02093

RIA

CRD#: 293997

Wrentham, MA

Past

October 3, 2012 - May 10, 2018

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

ARLINGTON, MA

Past

June 8, 2012 - May 10, 2018

CRD#: 12984

APPLETON, WI

Past

June 11, 1991 - November 12, 1992

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

April 3, 1990 - May 16, 1991

W.H. NEWBOLD'S SON & CO., INC.

CRD#: 7575

Past

June 20, 1989 - April 5, 1990

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

June 20, 1984 - June 23, 1989

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(7/17/2018)

IAR

New Jersey
(9/24/2018)

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 66

Date: 10/1/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/11/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/8/1984

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SULLIVAN RETIREMENT RESOURCES, LLC

SULLIVAN RETIREMENT RESOURCE, LLC | SULLIVAN RETIREMENT RESOURCES, LLC

CRD#: 293997 / SEC#:

Massachusetts

Registered Investment Advisory firm - (7/17/2018 Approved)

New Jersey

Registered Investment Advisory firm - (9/24/2018 Approved)

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Contact information

Main Address

850 Franklin Street Suite 12a, Wrentham, MA 02093

Mailing Address

Phone number

(774) 847-9949

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 10,271,414

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.

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Advisor Monitoring

Firm Stability Insights

Daniel J. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

SIGNATOR INVESTORS, INC.

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

INVEST FINANCIAL CORPORATION

ROBERT THOMAS SECURITIES, INC

W.H. NEWBOLD'S SON & CO., INC.

A. G. EDWARDS & SONS, INC.

ROBERT THOMAS SECURITIES, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/1/2012

Series 65

Date: 8/11/2004

Series 63

Date: 7/9/1984

SIE

Date: 5/10/2018

Series 7

Date: 6/16/1984

Series 8

Date: 10/8/1984

Current Firm

SULLIVAN RETIREMENT RESOURCES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SULLIVAN RETIREMENT RESOURCES, LLC

TRUST BUT VERIFY

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