AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AS

Amy L. Sullivan

CREATIVE PLANNING INSTITUTIONAL ADVISORS
Naperville, IL
Some features on this profile are disabled
CRD#: 2762297
AS
Amy Lynn SullivanCREATIVE PLANNING INSTITUTIONAL ADVISORS

Professional summary

Amy Lynn Sullivan, who also goes by Amy L Dockweiler, Amy Lynn Dockweiler, is a registered financial advisor currently at CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC located in Naperville, Illinois.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Amy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

Always Fiduciary

Aliases

Amy L Dockweiler | Amy Lynn Dockweiler

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.
Dockweiler Consulting Associates, Ltd.; Non-Investment Related; 17929 Beth Court, Homewood, IL 60430; Nature of the business: Estate Executor consulting; Position: Principal; Start Date: 1/1/2021 to Present; Approximately 4 hours per month devoted to the business and 0 hours during securities trading hours per month devoted to the business. Duties include: Providing administrative support to executor/trustee & attending client meetings. Potentially assuming executor responsibilities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Lynn Sullivan's CRS (Customer Relationship Summary).
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

August 14, 2025 - Present

CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC

RIA
CRD#: 126777
Naperville, IL
Past

May 9, 2019 - December 10, 2025

CAP STRAT

RIA
CRD#: 150091
OAKBROOK TERRACE, IL
Past

March 4, 2014 - June 8, 2017

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
NEW YORK, NY
Past

October 2, 2012 - March 3, 2014

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
LISLE, IL
Past

December 2, 2003 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

June 26, 2003 - May 11, 2004

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA
CRD#: 39805
chicago, IL
Past

January 25, 2002 - June 8, 2017

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
chicago, IL
Past

February 12, 1997 - November 21, 2001

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

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".
CP
CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS | CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC, LLC | CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC

CRD#: 126777 / SEC#: 801-64265

RIA
Registered Investment Advisory firm - (5/31/2005 Approved)
California
Registered Investment Advisory firm - (6/7/2005 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.

Highlighted states indicate IAR registrations

IAR
Florida
(9/2/2025)
IAR
Illinois
(8/14/2025)
IAR
Indiana
(9/19/2025)
IAR
New York
(8/14/2025)
IAR
Texas
(8/14/2025)

Exams

What does exam status mean?
State Security Law Exam
IAR
Series 65
Status Unavailable
Passed: 5/15/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
PR
Series 63
Status Unavailable
Passed: 6/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 6/8/2017
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 2/11/1997
General Securities Representative Examination
Principal/Supervisory Exam
PR
Series 24
Status Unavailable
Passed: 3/5/2007
General Securities Principal Examination

Current Firm

CP
CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS | CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC, LLC | CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC

CRD#: 126777 / SEC#: 801-64265

RIA
Registered Investment Advisory firm - (5/31/2005 Approved)
California
Registered Investment Advisory firm - (6/7/2005 Terminated)
Loading...

Contact information

Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
195

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC ADV PART 2A (8/25/2026)

Regulatory assets under management

Total Number of Accounts1,301
AUM (Assets Under Management)$ 37,502,470,791

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

CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC

CRD#: 126777Naperville, IL

TRUST BUT VERIFY

Monitor Amy Sullivan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
HELENA, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
ESTERO, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.