Michael S. Sullivan
GOLDMAN SACHS WEALTH SERVICES, L.P.
Austin, TX 78704
Some features on this profile are disabled
CRD#: 2806909
Professional summary
Michael Shane Sullivan, CFP®, who also goes by Shane Sullivan, is a registered financial advisor currently at GOLDMAN SACHS WEALTH SERVICES, L.P. located in Austin, Texas and GOLDMAN SACHS & CO. LLC located in Austin, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 9 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Comprehensive Financial Planni...
Investment Planning
Insurance Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Shane 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Shane 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®
CFP®
Start date: 2006
Experience
Current
November 2, 2023 - Present
GOLDMAN SACHS WEALTH SERVICES, L.P.
Office #1: 401 South 1st Street Sutie 1325, Austin, TX 78704RIA
CRD#: 106693
Austin, TX
Current
July 1, 2020 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 401 South 1st Street Suite 1325, Austin, TX 78704RIA
BD
CRD#: 361
Austin, TX
Past
July 1, 2020 - February 11, 2025
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
Austin, TX
Past
January 9, 2019 - July 15, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
AUSTIN, TX
Past
November 1, 2017 - June 30, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
AUSTIN, TX
Past
April 10, 2015 - November 2, 2023
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
Austin, TX
Past
April 10, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
AUSTIN, TX
Past
May 18, 2010 - April 13, 2015
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
HARLINGEN, TX
Past
March 18, 2010 - April 13, 2015
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
HARLINGEN, TX
Past
March 17, 2010 - March 30, 2010
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
HARLINGEN, TX
Past
January 1, 2008 - March 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AUSTIN, TX
Past
January 1, 2008 - March 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AUSTIN, TX
Past
December 12, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
AUSTIN, TX
Past
November 11, 1996 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
AUSTIN, TX
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".
GS
GOLDMAN SACHS WEALTH SERVICES, L.P.
GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT | THE AYCO COMPANY,L.P. | THE AYCO COMPANY, L.P. | GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
RIA
Registered Investment Advisory firm - (12/9/1994 Approved)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
RR
Alabama(7/17/2020)
RR
Alaska(7/13/2020)
RR
Arizona(7/13/2020)
RR
Arkansas(7/6/2020)
RR
California(7/1/2020)
RR
Colorado(7/13/2020)
RR
Connecticut(7/13/2020)
RR
Delaware(7/14/2020)
RR
District of Columbia(7/9/2020)
RR
Florida(7/2/2020)
RR
Georgia(7/7/2020)
RR
Hawaii(8/6/2020)
RR
Idaho(7/2/2020)
RR
Illinois(8/12/2020)
RR
Indiana(7/13/2020)
RR
Iowa(7/2/2020)
RR
Kansas(7/9/2020)
RR
Kentucky(7/13/2020)
RR
Louisiana(7/20/2020)
IAR
Louisiana(11/2/2023)
RR
Maine(7/2/2020)
RR
Maryland(7/1/2020)
RR
Massachusetts(9/15/2020)
RR
Michigan(7/14/2020)
RR
Minnesota(7/14/2020)
RR
Mississippi(7/14/2020)
RR
Missouri(7/1/2020)
RR
Montana(7/1/2020)
RR
Nebraska(7/13/2020)
RR
New Hampshire(8/18/2020)
RR
New Jersey(7/16/2020)
RR
New Mexico(7/17/2020)
RR
New York(7/13/2020)
RR
North Carolina(7/2/2020)
RR
North Dakota(7/13/2020)
RR
Ohio(7/1/2020)
RR
Oklahoma(7/14/2020)
RR
Oregon(7/6/2020)
RR
Pennsylvania(7/17/2020)
RR
Puerto Rico(7/3/2020)
RR
Rhode Island(7/7/2020)
IAR
Rhode Island(11/2/2023)
RR
South Carolina(7/17/2020)
RR
South Dakota(7/21/2020)
RR
Tennessee(7/2/2020)
RR
Texas(7/13/2020)
IAR
Texas(11/2/2023)
RR
Utah(7/21/2020)
RR
Vermont(7/13/2020)
RR
Virgin Islands(7/14/2020)
RR
Virginia(7/15/2020)
RR
Washington(7/13/2020)
RR
West Virginia(7/21/2020)
RR
Wisconsin(7/1/2020)
RR
Wyoming(7/13/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
GS
GOLDMAN SACHS WEALTH SERVICES, L.P.
GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT | THE AYCO COMPANY,L.P. | THE AYCO COMPANY, L.P. | GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
RIA
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Contact information
Main Address
100 Coliseum Drive, Cohoes, NY 12047
Mailing Address
P.o. Box 15201, Albany, NY 12212
Phone number
(518) 886-4000
Established
Firm type
Fiscal year end
# of Employees
1,809
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,477 |
| AUM (Assets Under Management) | $ 25,958,285,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
