Kenneth M. Sullivan

THE RETIREMENT GUYS FORMULA

Verona, PA 15147

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CRD#: 2794124

Professional summary

Kenneth Michael Sullivan, who also goes by Michael Sullivan, is a registered financial advisor currently at THE RETIREMENT GUYS FORMULA located in Verona, Pennsylvania and RETIRE PITTSBURGH MANAGEMENT LLC located in Murrysville, Pennsylvania.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kenneth has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Sullivan

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) Retirement Guys Formula; Investment Adviser Representative; Start Date: 10/2017; Estimated Annual Income: 15K; Approximate Hours Spent On Activity Per Month: 140; Approximate Hours Spent On Activity Per Month During Trading Hours: 140) Retire Pittsburgh; Owner/Insurance Agent; Start Date: 1.15.18; Approximate Hours Spent On Activity During Trading Hours: 16; Estimated Annual Income: 100K 6) Retire Pittsburgh Management LLC, investment related, Pittsburgh, PA, RIA, Managing Member/CCO/Investment Adviser Representative, Start Date 11/2020, approximately 16 hours/month with all hours devoted during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Michael 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

October 19, 2017 - Present

THE RETIREMENT GUYS FORMULA

Office #1: 601 Allegheny River Blvd., Verona, PA 15147Office #2: 300 Bilmar Drive Suite 240, Pittsburgh, PA 15205

RIA

CRD#: 168561

Verona, PA

Current

August 13, 2021 - Present

RETIRE PITTSBURGH MANAGEMENT LLC

Office #1: 3875 Old William Penn Highway, Murrysville, PA 15668

RIA

CRD#: 311977

Murrysville, PA

Past

October 19, 2017 - June 4, 2018

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

Pittsburgh, PA

Past

October 17, 2017 - May 22, 2018

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

PITTSBURGH, PA

Past

September 21, 2016 - September 5, 2017

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

OAKMONT, PA

Past

September 21, 2016 - September 5, 2017

KEY INVESTMENT SERVICES LLC

CRD#: 136300

OAKMONT, PA

Past

April 18, 2012 - September 21, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

MONROEVILLE, PA

Past

April 18, 2012 - September 21, 2016

LPL FINANCIAL LLC

CRD#: 6413

MONROEVILLE, PA

Past

January 13, 2012 - April 11, 2012

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

APOLLO, PA

Past

January 27, 2011 - April 11, 2012

NATIONWIDE SECURITIES, LLC

CRD#: 11173

APOLLO, PA

Past

June 2, 2010 - August 4, 2010

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

INDIANA, PA

Past

September 7, 2005 - June 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

INDIANA, PA

Past

January 1, 2004 - October 1, 2004

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

June 1, 2002 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

October 27, 1998 - June 1, 2002

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Past

September 30, 1996 - November 6, 1997

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

THE RETIREMENT GUYS FORMULA

CRD#: 168561 / SEC#: 801-119086

RIA

Registered Investment Advisory firm - (7/20/2020 Approved)

Michigan

Registered Investment Advisory firm - (7/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (7/22/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2020 Terminated)

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).

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

Pennsylvania
(10/19/2017)

IAR

Texas
(6/20/2019)

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: 11/17/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/29/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

THE RETIREMENT GUYS FORMULA

CRD#: 168561 / SEC#: 801-119086

RIA

Registered Investment Advisory firm - (7/20/2020 Approved)

Michigan

Registered Investment Advisory firm - (7/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (7/22/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2020 Terminated)

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Contact information

Main Address

1700 Woodlands Drive, Maumee, OH 43537

Mailing Address

Phone number

(419) 842-0550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RGF ADV PART 2A BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,991
AUM (Assets Under Management)	$ 300,603,838

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

Kenneth M. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Michael Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIRE PITTSBURGH MANAGEMENT LLC

BLACKRIDGE ASSET MANAGEMENT, LLC

PEAK BROKERAGE SERVICES, LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

PNC WEALTH MANAGEMENT LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

PNC BROKERAGE CORP

WADDELL & REED

Primary Firm SEC Registration

THE RETIREMENT GUYS FORMULA

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2011

Series 63

Date: 10/15/1996

SIE

Date: 5/22/2018

Series 7

Date: 12/22/1999

Series 6

Date: 9/27/1996

Series 10

Date: 1/2/2002

Series 9

Date: 10/29/2001

Current Firm

THE RETIREMENT GUYS FORMULA

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE RETIREMENT GUYS FORMULA

TRUST BUT VERIFY

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