Joel E. Sullivan

SULLIVAN INVESTMENT MANAGEMENT LLC

Wisconsin Rapids, WI 54495

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CRD#: 1949049

Professional summary

Joel Eugene Sullivan, who also goes by Joel E Sullivan, is a registered financial advisor currently at SULLIVAN INVESTMENT MANAGEMENT LLC located in Wisconsin Rapids, Wisconsin.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Joel has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joel E 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Eugene 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 18, 2017 - Present

SULLIVAN INVESTMENT MANAGEMENT LLC

Office #1: 320 W Grand Ave Ste 303, Wisconsin Rapids, WI 54495

RIA

CRD#: 289217

Wisconsin Rapids, WI

Past

May 20, 2003 - April 29, 2019

BUENA VISTA INVESTMENT MANAGEMENT LLC

RIA

CRD#: 123252

WISCONSIN RAPIDS, WI

Past

August 28, 1989 - April 30, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 28, 1989 - April 30, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 23, 1989 - June 26, 1989

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

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

Florida
(8/22/2017)

IAR

Michigan
(9/13/2017)

IAR

Wisconsin
(7/18/2017)

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: 10/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Current Firm

SULLIVAN INVESTMENT MANAGEMENT LLC

CRD#: 289217 / SEC#:

Florida

Registered Investment Advisory firm - (8/22/2017 Approved)

Michigan

Registered Investment Advisory firm - (8/14/2017 Approved)

Wisconsin

Registered Investment Advisory firm - (7/14/2017 Approved)

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Contact information

Main Address

320 W Grand Ave Ste 303, Wisconsin Rapids, WI 54495

Mailing Address

P.o. Box 546, Wisconsin Rapids, WI 54495

Phone number

(715) 422-0701

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	141
AUM (Assets Under Management)	$ 96,900,000

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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Joel E. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Eugene Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SULLIVAN INVESTMENT MANAGEMENT LLC

BUENA VISTA INVESTMENT MANAGEMENT LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IFMG SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/1995

Series 63

Date: 1/27/1994

Series 7

Date: 5/20/1989

Current Firm

SULLIVAN INVESTMENT MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SULLIVAN INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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