James Daniel Sullivan
AIF®Professional Summary
James Daniel Sullivan, AIF® is a registered financial advisor currently at PRIVATE ADVISOR GROUP, LLC located in New Rochelle, New York and LPL FINANCIAL LLC located in Morristown, New Jersey. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
1406 FINANCIAL | CORETEGIC CAPITAL | COPPOLA WEALTH MANAGEMENT | COPIA WEALTH ADVISORS | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT LLC | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COMMON SENSONOMICS WEALTH MANAGEMENT | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEARLIFE WEALTH MANAGEMENT | CLEAR SKIES FINANCIAL | CLARITY FINANCIAL PLANNING | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHANNEL ISLANDS TAX & WEALTH MANAGEMENT | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPLAN CAPITAL MANAGEMENT, INC | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAMPBELL KRUG WEALTH MANAGEMENT | CAMINO ADVISORS | CAMBER WEALTH | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BSF ADVISORS | BROWN FINANCIAL SERVICES GROUP | BROOKWOOD ADVISORS | BROOKS WEALTH MANAGEMENT | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOYER FINANCIAL GROUP | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ASSET MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK STONE FINANCIAL INC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BAKER WEALTH MANAGEMENT, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ASCEND INTEGRATED WEALTH | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | ARAKELIAN WEALTH MANAGEMENT | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGLIN WEATLH MANAGEMENT | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | AMERICAN FINANCIAL ADVISORS, INC | ALPERT FINANCIAL | ALNA FINANCIAL GROUP, LLC | ALNA FINANCIAL GROUP LLC | ALMANZA WEALTH MANAGEMENT | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | ALADINO FINANCIAL SERVICES | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | AERO CAPITAL | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
Contact Information
Main Address
305 Madison Avenue, Morristown, NJ 07960Mailing Address
305 Madison Avenue Po Box 1820, Morristown, NJ 07962Phone Number
(973) 538-7010# of Employees
930SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
170,206AUM (Assets Under Management)
$57,703,120,793Similar Advisors
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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.
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Primary Firm SEC Registration
1406 FINANCIAL | CORETEGIC CAPITAL | COPPOLA WEALTH MANAGEMENT | COPIA WEALTH ADVISORS | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT LLC | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COMMON SENSONOMICS WEALTH MANAGEMENT | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEARLIFE WEALTH MANAGEMENT | CLEAR SKIES FINANCIAL | CLARITY FINANCIAL PLANNING | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHANNEL ISLANDS TAX & WEALTH MANAGEMENT | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPLAN CAPITAL MANAGEMENT, INC | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAMPBELL KRUG WEALTH MANAGEMENT | CAMINO ADVISORS | CAMBER WEALTH | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BSF ADVISORS | BROWN FINANCIAL SERVICES GROUP | BROOKWOOD ADVISORS | BROOKS WEALTH MANAGEMENT | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOYER FINANCIAL GROUP | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ASSET MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK STONE FINANCIAL INC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BAKER WEALTH MANAGEMENT, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ASCEND INTEGRATED WEALTH | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | ARAKELIAN WEALTH MANAGEMENT | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGLIN WEATLH MANAGEMENT | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | AMERICAN FINANCIAL ADVISORS, INC | ALPERT FINANCIAL | ALNA FINANCIAL GROUP, LLC | ALNA FINANCIAL GROUP LLC | ALMANZA WEALTH MANAGEMENT | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | ALADINO FINANCIAL SERVICES | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | AERO CAPITAL | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1998SRO Registrations
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CRS (Client Relationship Summary) - RIA
PRIVATE ADVISOR GROUP, LLC — Registered Investment Advisory firm
Version Date: Fri, Mar 01, 2024
Private Advisor Group (PAG) is registered with the U.S. Securities and Exchange Commission as an investment adviser. Investment advisory and brokerage services and fees differ, and it is important for you to understand the differences in order to choose which type of account is right for you. There are free and simple tools available to research firms and financial professionals at Investor.gov/CRS which also provides educational materials about investment advisers, broker-dealers, and investing.
Percentage Fee: PAG generally charges a fee that is a percentage of the assets to be managed. The fee is negotiable, with a maximum annual fee of 2.25%. The fee is based on the value of the investments in your account and charged quarterly in advance. A fee that is a percentage of the assets to be managed may create a disincentive for your Advisor to perform additional work for a client because that work will not increase his or her compensation. Your Advisor may have an incentive to perform less work for clients with fewer assets. Since fees increase when assets increase, your Advisor has an incentive to encourage you to increase the assets in your account.
Flat Fee: PAG may also agree to charge a fixed or flat fee for its services, charging a specific dollar amount for a specific time period. A fixed fee may create a disincentive for your Advisor to perform additional work for you because that work will not increase his or her compensation.
Hourly Fee: PAG may also agree to charge an hourly fee for all time spent working on a client’s behalf. An hourly fee may create an incentive for your Advisor to perform additional work for the client because his or her compensation will increase with any additional work.
Wrap Fee and Non-Wrap Fee: If you are in a wrap fee program, trading costs will be charged to your Advisor, so he or she will have a disincentive to perform work for you by trading in your account. If you are in a non-wrap fee program, you will pay a per-transaction charge in addition to the percentage fee.
Subscription Fee: Your Advisor may provide publications or seminars for which you may be required to pay a subscription fee.
Custodian Fees: You will be charged fees by the custodian where your account is held for services such as account maintenance, and you should review the fee schedule published by the custodian for those specific fees.
If you use the services of a portfolio manager or third party investment advisory firms, you will be charged fees depending on the terms of your agreement with them.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please ask your Advisor for personalized information and make sure you understand what fees and costs you are paying.
Questions to ask your Professional:
- Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will
- go to fees and costs, and how much will be invested for me?
When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means. Our firm makes money from advisory fees that our clients pay. This is a conflict of interest because those fees reduce your investment returns. Your financial professional may also make money outside of PAG, typically as a registered representative of a broker-dealer or an insurance agent and recommendations to utilize him or her in those roles create a conflict of interest.
Questions to ask your Professional:
- How might your conflicts of interest affect me, and how will you address them?
Your Advisor receives a portion of the investment advisory fee you pay. This creates an incentive for your Advisor to encourage you to increase the assets in your account. The portion of the investment advisory fee paid to your Advisor will differ based on the advisory service or program. Your Advisor may also make money from related fields, but outside PAG. For example, if your Advisor is also a registered representative of LPL, they would earn commissions from buying and selling securities in a brokerage account. Your Advisor may also be an insurance agent, and would earn commissions for selling you policies or annuities. If so, your Advisor will also have an incentive to increase the assets in your brokerage account or your insurance contracts to make more money from those roles.
Your Advisor may attend business dinners, educational conferences, or social events where the costs are paid by investment companies, which creates an incentive for your Advisor to recommend those products.
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