JS
John R. Sullivan
KAUFMAN ROSSIN WEALTH
Boca Raton, FL 33486
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CRD#: 2608569
JS
Professional summary
John Richard Sullivan, CFP® is a registered financial advisor currently at KAUFMAN ROSSIN WEALTH, LLC located in Boca Raton, Florida and INTEGRITY ALLIANCE, LLC. located in Boca Raton, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) Kaufman Rossin & Co- non-investment related; One Town Center Road Suite 400 Boca Raton, FL 33486; accounting firm; administrator; Start date 9/2024; Generally 0 hours per month during security trading hours 2) Lion Street Financial; investment-related; 300 Colorado St Suite 2600, Austin, TX 78701; broker-dealer; registered representative; Start date 11/2024; 5hours/month, all during trading hours; 3) KAUFMAN ROSSIN WEALTH, LLC POSITION: Employee NATURE: The business provides financial advice and portfolio management to our clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/04/2024 ADDRESS: One Town Center Road, Suite 400, Boca Raton FL 33486, United States DESCRIPTION: I am the director of portfolio management and planning. I help lead with financial planning with their interactions with clients. I also help with the firms portfolio management activities. 4) KR FINANCIAL SERVICES DBA KAUFMAN ROSSIN INSURANCE SERVICES POSITION: Employee NATURE: Licensed Insurance Agent INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/04/2024 ADDRESS: One Town center Road, Boca Raton FL 33486, United States DESCRIPTION: Insurance Planning for Financial Services.
CRS (Client Relationship Summary) - RIA
Click below to view John Richard 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®
Experience
Current
September 19, 2024 - Present
KAUFMAN ROSSIN WEALTH, LLC
Office #1: One Town Center Road Suite 660, Boca Raton, FL 33486RIA
CRD#: 301921
Boca Raton, FL
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: One Town Center Road Suite 400, Boca Raton, FL 33486RIA
BD
CRD#: 139627
Boca Raton, FL
Past
November 4, 2024 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Boca Raton, FL
Past
September 14, 2016 - July 1, 2020
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
BOCA RATON, FL
Past
March 5, 2010 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
BOCA RATON, FL
Past
February 3, 2010 - July 1, 2020
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
BOCA RATON, FL
Past
May 3, 2001 - April 1, 2009
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
BOCA RATON, FL
Past
May 2, 2001 - April 1, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
BOCA RATON, FL
Past
June 29, 1995 - May 25, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 29, 1995 - May 25, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KR
KAUFMAN ROSSIN WEALTH, LLC
KAUFMAN ROSSIN WEALTH, LLC
CRD#: 301921 / SEC#: 801-122845
RIA
Registered Investment Advisory firm - (12/14/2021 Approved)Florida
Registered Investment Advisory firm - (9/6/2022 Terminated)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
IAR
California(9/19/2024)
IAR
Florida(10/17/2024)
RR
Florida(11/4/2025)
IAR
Texas(9/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KR
KAUFMAN ROSSIN WEALTH, LLC
KAUFMAN ROSSIN WEALTH, LLC
CRD#: 301921 / SEC#: 801-122845
RIA
Registered Investment Advisory firm - (12/14/2021 Approved)Florida
Registered Investment Advisory firm - (9/6/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3310 Mary Street Suite 501, Miami, FL 33133
Mailing Address
Phone number
(305) 646-6071
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 457 |
| AUM (Assets Under Management) | $ 302,857,130 |
Red Flags
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Company Information
KAUFMAN ROSSIN WEALTH, LLC
CRD#: 301921Boca Raton, FL 33486TRUST BUT VERIFY
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