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AS

Amy L. Sullivan

CAP STRAT
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 2762297
AS

Professional summary

Amy Lynn Sullivan, who also goes by Amy L Dockweiler, Amy Lynn Dockweiler, is a registered financial advisor currently at CAP STRAT located in Oakbrook Terrace, Illinois and SAGEVIEW ADVISORY GROUP, LLC located in Oakbrook Terrace, 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.

Question & Answer

Are you a "fiduciary"?
Yes

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.
The advisor shows no other business activity.

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

May 9, 2019 - Present

CAP STRAT

Office #1: One Parkview Plaza Suite 620, Oakbrook Terrace, IL 60181
CRD#: 150091
Oakbrook Terrace, IL
Current

August 14, 2025 - Present

SAGEVIEW ADVISORY GROUP, LLC

Office #1: One Parkview Plaza Suite 117, Oakbrook Terrace, IL 60181
RIA
CRD#: 126777
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

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
(5/9/2019)
IAR
Indiana
(9/19/2025)
IAR
New York
(8/14/2025)
IAR
Texas
(8/14/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/15/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/8/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/2007
General Securities Principal Examination

Current Firm

SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA
Registered Investment Advisory firm - (5/31/2005 Approved)
California
Registered Investment Advisory firm - (6/7/2005 Terminated)
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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
248

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts13,295
AUM (Assets Under Management)$ 238,552,018,915

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

SAGEVIEW ADVISORY GROUP, LLC

CRD#: 126777Oakbrook Terrace, IL 60181

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