AS
Arthur F. Sullivan
ADVISORS ASSET MANAGEMENT
Boerne, TX 78006
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CRD#: 1392785
AS
Professional summary
Arthur Francis Sullivan III, who also goes by Arthur Francis Sullivan, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Boerne, Texas.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Arthur has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arthur Francis Sullivan
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)NAME:HAL LYNCH FOUNDATION ADDRESS:7900 FAIR OAKS PARKWAY FAIR OAKS, TX 78015 NATURE:SCHOLARSHIP FOUNDATION START:JAN 2016 DUTIES:COMMITTEE MEMBER TITLE:NONE TIME:2-4 HRS/MONTH NOT SECURITIES RELATED WEBSITE: HALLYNCH.ORG
2)NAME:BOERNE LEADERSTEPS ADDRESS:PO BOX 1160 BOERNE,TX 78006 START:7/24/2017 TITLE:BOARD MEMBER DUTIES:VOLUNTEER TIME:2-4 HOURS PER MONTH NOT SECURITIES INVESTMENT RELATED I WAS ASKED TO JOIN THE BOARD OF DIRECTORS. LEADERSTEPS IS A NON-PROFIT ORGANIZATION DEDICATED TO LIFELONG LEADERSHIP SKILLS AND CAREER OPTIONS TO A QUALIFIED SELECT GROUP OF HIGH SCHOOL SENIORS, OFFERING OPPORTUNITIES TO PREPARE FOR SUCCESS BEYOND HIGH SCHOOL. WEBSITE: http://www.boerneleadersteps.org/home.html
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Francis Sullivan III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Francis Sullivan III'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®
NoneExperience
Current
November 13, 2014 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 28025 Ih-10 West, Boerne, TX 78006RIA
BD
CRD#: 46727
Boerne, TX
Current
December 24, 2013 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 28025 Ih-10 West, Boerne, TX 78006RIA
BD
CRD#: 46727
Boerne, TX
Past
September 17, 2008 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
FAIR OAKS RANCH, TX
Past
September 16, 2008 - October 7, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
February 19, 1998 - August 14, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
OKLAHOMA CITY, OK
Past
July 31, 1993 - August 14, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
OKLAHOMA CITY, OK
Past
July 2, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
April 4, 1986 - July 6, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 24, 1985 - February 26, 1986
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(12/24/2013)
IAR
Texas(11/13/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/3/1995
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727Boerne, TX 78006TRUST BUT VERIFY
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Contact information
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