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Scott C. Sullivan

BAY POINT FINANCIAL
BEDFORD, NH 03110
CRD#: 2210519
Some features on this profile are disabled
SS
Scott Charles SullivanBAY POINT FINANCIAL

Professional summary

Scott Charles Sullivan, who also goes by Scott C Sullivan, is a registered financial advisor currently at BAY POINT FINANCIAL, LLC located in Bedford, New Hampshire and OSAIC WEALTH, INC. located in Bedford, New Hampshire.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Scott C 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 Scott Charles 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

April 5, 2010 - Present

BAY POINT FINANCIAL, LLC

Office #1: 2 Beaudoin St. Suite A, Bedford, NH 03110
RIA
CRD#: 153017
BEDFORD, NH
Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2 Beaudoin Street Suite A, Bedford, NH 03110Office #2: 144 Pleasant Street, Laconia, NH 03246
RIA
BD
CRD#: 23131
BEDFORD, NH
Past

January 28, 2010 - August 13, 2010

TRIAD ADVISORS LLC

RIA
CRD#: 25803
BEDFORD, NH
Past

January 28, 2010 - August 23, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
BEDFORD, NH
Past

September 27, 2004 - November 3, 2006

INDEPENDENT ADVISERS GROUP CORP

RIA
CRD#: 106684
BEDFORD, NH
Past

April 27, 2001 - January 29, 2010

OSAIC FS, INC.

RIA
CRD#: 3870
LACONIA, NH
Past

January 2, 2001 - January 29, 2010

OSAIC FS, INC.

BD
CRD#: 3870
LACONIA, NH
Past

November 13, 1995 - January 26, 2001

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

February 24, 1992 - September 15, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

February 24, 1992 - September 15, 1995

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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
Arizona
(1/2/2026)
RR
Colorado
(8/23/2024)
RR
Florida
(8/23/2024)
RR
Maine
(8/23/2024)
RR
Massachusetts
(8/23/2024)
IAR
New Hampshire
(4/5/2010)
RR
New Hampshire
(8/23/2024)
RR
New York
(8/23/2024)
RR
North Carolina
(6/17/2025)
RR
Rhode Island
(8/23/2024)
RR
Virginia
(6/13/2025)
RR
Washington
(2/18/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/19/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/21/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/21/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/23/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BAY POINT FINANCIAL, LLC
BAY POINT FINANCIAL, LLC

CRD#: 153017 / SEC#:

New Hampshire
Registered Investment Advisory firm - (4/5/2010 Approved)
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Contact information

Main Address
2 Beaudoin St. Suite A, Bedford, NH 03110
Mailing Address
144 Pleasant St., Laconia, NH 03246
Phone number
(603) 626-6699
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts304
AUM (Assets Under Management)$ 77,169,656

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.

Company Information

BAY POINT FINANCIAL, LLC

CRD#: 153017Bedford, NH 03110

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