James A. Sullivan

SULLIVAN WOOD CAPITAL MANAGEMENT

Washington, DC 20005

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CRD#: 2631161

Professional summary

James Arnold Sullivan, who also goes by James Arnold Sullivan III, Jim Sullivan III, is a registered financial advisor currently at SULLIVAN WOOD CAPITAL MANAGEMENT, LLC located in Washington, District Of Columbia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. James has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Arnold Sullivan Iii | Jim Sullivan Iii

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 James Arnold 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

February 14, 2011 - Present

SULLIVAN WOOD CAPITAL MANAGEMENT, LLC

Office #1: 1100 H St Nw Suite 910, Washington, DC 20005

RIA

CRD#: 124146

Washington, DC

Past

September 27, 2004 - August 2, 2007

FBR INVESTMENT SERVICES, INC.

CRD#: 43442

ARLINGTON, VA

Past

March 3, 2003 - December 31, 2010

SULLIVAN WOOD CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124146

WASHINGTON, DC

Past

January 8, 2003 - April 2, 2003

LOCUST STREET SECURITIES, INC.

RIA

CRD#: 1703

WASHINGTON, DC

Past

September 23, 2002 - April 2, 2003

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

October 3, 2000 - September 20, 2002

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

Past

April 26, 1999 - October 12, 2000

KAUFMAN BROS., L.P.

CRD#: 37909

NEW YORK, NY

Past

November 24, 1998 - March 15, 1999

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 16, 1997 - September 14, 1998

JANCO PARTNERS, INC.

CRD#: 40055

GREENWOOD VILLAGE, CO

Past

July 23, 1996 - June 2, 1997

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

September 1, 1995 - May 15, 1996

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

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.

Highlighted states indicate IAR registrations

IAR

District of Columbia
(2/14/2011)

IAR

Virginia
(3/3/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/1995

General Securities Representative Examination

Current Firm

SULLIVAN WOOD CAPITAL MANAGEMENT, LLC

ARNOLD CAPITAL MANAGEMENT, LLC | SULLIVAN WOOD CAPITAL MANAGEMENT, LLC

CRD#: 124146 / SEC#:

California

Registered Investment Advisory firm - (12/31/2006 Terminated)

District of Columbia

Registered Investment Advisory firm - (2/14/2011 Approved)

Maryland

Registered Investment Advisory firm - (11/19/2025 Approved)

Virginia

Registered Investment Advisory firm - (3/3/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1100 H St Nw Suite 910, Washington, DC 20005

Mailing Address

Phone number

(202) 775-8484

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	114
AUM (Assets Under Management)	$ 90,924,726

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.

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Advisor Monitoring

Firm Stability Insights

James A. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arnold Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FBR INVESTMENT SERVICES, INC.

SULLIVAN WOOD CAPITAL MANAGEMENT, LLC

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

B. RILEY SECURITIES, INC.

KAUFMAN BROS., L.P.

OPPENHEIMER & CO. INC.

JANCO PARTNERS, INC.

NATHAN & LEWIS SECURITIES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2002

Series 63

Date: 3/11/1996

Series 7

Date: 8/31/1995

Current Firm

SULLIVAN WOOD CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SULLIVAN WOOD CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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