Joseph L. Sullivan

CRD#: 2829640

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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Louis Sullivan, who also goes by Joseph Louis Sullivan, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Louis 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 8, 2025 - June 3, 2026

PORTFOLIO MEDICS, LLC

RIA

CRD#: 145958

McHenry, IL

Past

October 19, 2023 - January 16, 2025

PORTFOLIO MEDICS, LLC

RIA

CRD#: 145958

McHenry, IL

Past

October 31, 2022 - August 11, 2023

OSAIC SERVICES, INC.

CRD#: 133763

HOFFMAN ESTATES, IL

Past

October 13, 2021 - September 9, 2022

STONEX SECURITIES INC.

CRD#: 18456

JANESVILLE, WI

Past

March 19, 2019 - March 31, 2021

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506

Minneapolis, MN

Past

October 19, 2012 - March 19, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minneapolis, MN

Past

April 29, 2008 - November 29, 2010

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

APPLETON, WI

Past

October 18, 1999 - February 9, 2000

TCF INVESTMENTS, INC.

CRD#: 34954

MINNEAPOLIS, MN

Past

February 27, 1997 - January 7, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

PORTFOLIO MEDICS, LLC

401 (K) MEDICS, LLC | PORTFOLIO MEDICS, LLC | 401(K) MEDICS, LLC,403(B) MEDICS, LLC

CRD#: 145958 / SEC#: 801-113846

RIA

Registered Investment Advisory firm - (8/16/2018 Approved)

Arizona

Registered Investment Advisory firm - (10/3/2018 Terminated)

California

Registered Investment Advisory firm - (5/13/2019 Terminated)

Florida

Registered Investment Advisory firm - (10/3/2018 Terminated)

Georgia

Registered Investment Advisory firm - (10/5/2018 Terminated)

Illinois

Registered Investment Advisory firm - (11/18/2011 Terminated)

Kentucky

Registered Investment Advisory firm - (10/3/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (11/18/2011 Terminated)

New York

Registered Investment Advisory firm - (11/18/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (10/5/2018 Terminated)

Ohio

Registered Investment Advisory firm - (10/3/2018 Terminated)

Oregon

Registered Investment Advisory firm - (10/3/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (10/3/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (10/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2018 Terminated)

Virginia

Registered Investment Advisory firm - (11/13/2015 Terminated)

West Virginia

Registered Investment Advisory firm - (11/18/2011 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/22/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/28/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PORTFOLIO MEDICS, LLC

401 (K) MEDICS, LLC | PORTFOLIO MEDICS, LLC | 401(K) MEDICS, LLC,403(B) MEDICS, LLC

CRD#: 145958 / SEC#: 801-113846

RIA

Registered Investment Advisory firm - (8/16/2018 Approved)

Arizona

Registered Investment Advisory firm - (10/3/2018 Terminated)

California

Registered Investment Advisory firm - (5/13/2019 Terminated)

Florida

Registered Investment Advisory firm - (10/3/2018 Terminated)

Georgia

Registered Investment Advisory firm - (10/5/2018 Terminated)

Illinois

Registered Investment Advisory firm - (11/18/2011 Terminated)

Kentucky

Registered Investment Advisory firm - (10/3/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (11/18/2011 Terminated)

New York

Registered Investment Advisory firm - (11/18/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (10/5/2018 Terminated)

Ohio

Registered Investment Advisory firm - (10/3/2018 Terminated)

Oregon

Registered Investment Advisory firm - (10/3/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (10/3/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (10/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2018 Terminated)

Virginia

Registered Investment Advisory firm - (11/13/2015 Terminated)

West Virginia

Registered Investment Advisory firm - (11/18/2011 Terminated)

PREMIUM

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Contact information

Main Address

27499 Riverview Center Blvd Suite 406, Bonita Springs, FL 34134

Mailing Address

Phone number

(239) 444-1766

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2B BROCHURE P HOLMES 11.25 (11/13/2025)

2B BROCHURE STUBER 11.25 (11/3/2025)

2B BROCHURE GALICI 10.25 (10/28/2025)

2B BROCHURE FERGUSON 9.25V2 (10/7/2025)

2B BROCHURE FORTUNATO 10.25 (10/1/2025)

2B BROCHURE CLARK 9.25 (9/30/2025)

2B BROCHURE LINK 9.25 (9/29/2025)

2B BROCHURE T MEAD 9.25 (9/11/2025)

2B BROCHURE M CAGLE 9.25 (9/10/2025)

2B BROCHURE F OHORE 9.25 (9/2/2025)

2B BROCHURE M JOELSON 8.25 (8/26/2025)

2B BROCHURE HACKNEY 8.25 (8/21/2025)

2B BROCHURE B BLACKLIDGE 7.25 (8/6/2025)

2B BROCHURE BRESSOUD 7.25 (8/1/2025)

2B BROCHURE B SCHWEITZER 7.25 (7/29/2025)

2B BROCHURE S JERRY 7.25 (7/25/2025)

2B BROCHURE ANDERS 7.25 (7/23/2025)

2B BROCHURE K LAMB 7.25 (7/1/2025)

2B BROCHURE J COLLINS 6.25 (6/24/2025)

2B BROCHURE R TAYLOR 6.25 (6/16/2025)

2B BROCHURE MARIA WAGNER 6.25 (6/9/2025)

2B BROCHURE D JENKINS 5.25 (5/29/2025)

2B BROCHURE T ALLISON 5.25 (5/22/2025)

2B BROCHURE DUDLEY 5.25 (5/21/2025)

2B BROCHURE R CAGLE 4.25V1 (4/8/2025)

2B BROCHURE HURLBERT 4.25 (4/8/2025)

2B BROCHURE SULLIVAN 4.25 (4/7/2025)

2B ANTMAN 3.25 (4/2/2025)

2B BROCHURE S SCHWESINGER 4.23 (3/14/2025)

2B BROCHURE I HILL 5.23 (3/14/2025)

2B BROCHURE C HILL 5.23 (3/14/2025)

2B BROCHURE M TRAN 10.23 (3/14/2025)

2B BROCHURE G WINTEROWD 10.23 (3/14/2025)

2B BROCHURE J WINTEROWD 10.23 (3/14/2025)

2B BROCHURE K BERTONNEAU (3/14/2025)

2B BROCHURE MAGETO 1.24 (3/14/2025)

2B FLIESS 1.24 (3/14/2025)

2B BROCHURE LY 3.24 (3/14/2025)

2B BROCHURE G MARKUS 5.24V1 (3/14/2025)

2B BROCHURE LAVICTOIRE 7.24 (3/14/2025)

2B BROCHURE SPECKMAN 7.24 (3/14/2025)

2B BROCHURE HEPBURN 7.24V1 (3/14/2025)

2B BROCHURE S PEREZ 8.24 (3/14/2025)

2B BROCHURE PARKER 9.24 (3/14/2025)

2B BROCHURE HELLBUSCH 9.24 (3/14/2025)

2B BROCHURE SPECKMAN 9.24 (3/14/2025)

MARIA GARZA 2B 10.24 (3/14/2025)

2B BROCHURE ROJAS 10.24 (3/14/2025)

2B BROCHURE DECKER 11.24V2 (3/14/2025)

2B BROCHURE ISLEMAN 11.24 (3/14/2025)

2B BROCHURE E SANTEE 11.24 (3/14/2025)

2B BROCHURE MCDONNELL 12.24 (3/14/2025)

2B BROCHURE ROGERS 1.25 (3/14/2025)

2B BROCHURE GIBSON 1.25 (3/14/2025)

2B BROCHURE WEBSTER 1.25 (3/14/2025)

2B BROCHURE GILLET 01.25 (3/14/2025)

2B ANGELUCCI 1.25 (3/14/2025)

2B BROCHURE YANG 01.25 (3/14/2025)

2B BROCHURE GARZA 1.25 (3/14/2025)

2A 2B BROCHUER JB JC 3.25 (3/14/2025)

2B BROCHURE HUBER (3/14/2025)

2B BROCHURE HAMEL 2.23 (3/14/2025)

2B BROCHURE SCHLECHTER (3/14/2025)

PM 2B PEREZ 11.20 (3/14/2025)

2B BROCHURE KASERMAN (3/14/2025)

2B BROCHURE GRIFFITH 2.21 (3/14/2025)

CROYSDALE 2B 2.21 (3/14/2025)

2B BROCHURE PETTICORD 5.21 (3/14/2025)

2B BROCHURE MOLINA 8.21 (3/14/2025)

2B BROCHURE ANGELUCCI 10.21 (3/14/2025)

2B BROCHURE NEFF 02.22 (3/14/2025)

2B BROCHURE EVANS 04.22 (3/14/2025)

2B BROCHURE ROBERT ABORN 5.22 (3/14/2025)

2B BROCHURE DARRYL BULL 6.22 (3/14/2025)

2B BROCHURE J GIBSON 7.22 (3/14/2025)

2B BROCHURE JOSEPH PASQUINELLI 08.22 (3/14/2025)

2B BROCHURE R SIMPSON 8.22 (3/14/2025)

2B BROCHURE D WAGNER 09.22 (3/14/2025)

2B BROCHURE T MICHALOWSKI 10.22 (3/14/2025)

2B BROCHURE ROSEMAN 10.22 (3/14/2025)

2B BROCHURE POLINA 3.21 (3/14/2025)

2B BROCHURE DIAZE 11.22V1 (3/14/2025)

2B BROCHURE TYSON 12.22 (3/14/2025)

2B BROCHURE LEONE 01.23 (3/14/2025)

PM MCFADDEN 2B BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	3,702
AUM (Assets Under Management)	$ 552,733,331

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

Joseph L. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PORTFOLIO MEDICS, LLC

OSAIC SERVICES, INC.

STONEX SECURITIES INC.

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

TCF INVESTMENTS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PORTFOLIO MEDICS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/2023

Series 63

Date: 2/28/2023

SIE

Date: 10/1/2018

Series 6

Date: 4/28/2008

Current Firm

PORTFOLIO MEDICS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PORTFOLIO MEDICS, LLC

TRUST BUT VERIFY

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