Robert R. 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.
Robert Roger Sullivan JR, who also goes by R. Roger Sullivan Jr, Robert Roger Sullivan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2020 - January 25, 2023
CETERA INVESTMENT ADVISERS LLC
February 25, 2020 - January 25, 2023
CETERA INVESTMENT SERVICES LLC
September 13, 2012 - August 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 12, 2012 - August 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - September 21, 2012
MORGAN STANLEY
June 1, 2009 - September 21, 2012
MORGAN STANLEY
May 14, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 7, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 8, 2008 - May 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2000 - May 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1994 - September 29, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
