Vincent P. 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.
Vincent P Sullivan, who also goes by VIncent Sullivan III, Vincent P Sullivan III, Vincent Patrick Sullivan Iii, Vincent Patrick Sullivan, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1992. Vincent had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2023 - January 21, 2025
EMPOWER ADVISORY GROUP, LLC
September 29, 2023 - January 21, 2025
EMPOWER FINANCIAL SERVICES, INC.
January 20, 2023 - June 6, 2023
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 20, 2023 - June 6, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
April 25, 2022 - January 18, 2023
EMPOWER ADVISORY GROUP, LLC
July 16, 2021 - April 22, 2022
EMPOWER ADVISORY GROUP, LLC
July 16, 2021 - January 18, 2023
EMPOWER FINANCIAL SERVICES, INC.
February 28, 2020 - January 5, 2021
EMPOWER FINANCIAL SERVICES, INC.
August 2, 2019 - August 28, 2019
FIDELIS WEALTH ADVISORS
October 15, 2018 - May 17, 2019
FIRST NATIONAL CAPITAL MARKETS
January 1, 2013 - February 19, 2013
EDWARD JONES
September 14, 2011 - February 19, 2013
EDWARD JONES
October 1, 2010 - May 11, 2011
MIDAMERICA FINANCIAL SERVICES, INC.
October 6, 2006 - September 21, 2010
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 10, 2006 - October 3, 2006
ALLSPRING FUNDS MANAGEMENT, LLC
February 22, 2006 - October 3, 2006
ALLSPRING FUNDS DISTRIBUTOR, LLC
September 3, 2004 - February 23, 2006
JANUS HENDERSON DISTRIBUTORS US LLC
June 2, 2004 - August 30, 2004
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 21, 2003 - May 20, 2004
BANC ONE SECURITIES CORPORATION
June 5, 2000 - August 6, 2002
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
November 22, 1996 - July 10, 1997
NYLIFE SECURITIES LLC
January 28, 1992 - July 6, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
