Kevin M. Sullivan
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.
Kevin Michael Sullivan was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2001. Kevin had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 55, Series 7, Series 6, Series 27, Series 53, Series 4, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2018 - December 9, 2020
EMPOWER ADVISORY GROUP, LLC
July 23, 2018 - December 9, 2020
EMPOWER FINANCIAL SERVICES, INC.
August 22, 2016 - February 8, 2018
EMPOWER ADVISORY GROUP, LLC
August 25, 2015 - May 2, 2018
EMPOWER FINANCIAL SERVICES, INC.
March 3, 2014 - August 29, 2014
GLOBAL INVESTMENT ADVISORS, LLC
March 3, 2014 - August 29, 2014
ESSEX SECURITIES LLC
January 29, 2013 - March 3, 2014
DAVINCI CAPITAL MANAGEMENT, INC.
January 21, 2013 - March 3, 2014
DAVINCI CAPITAL MANAGEMENT, INC.
August 29, 2011 - June 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2011 - June 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2010 - September 27, 2010
STALWART CAPITAL, LLC
September 22, 2006 - August 6, 2008
INVESTORS CAPITAL CORP.
September 18, 2006 - August 6, 2008
INVESTORS CAPITAL CORP.
November 7, 2005 - April 26, 2006
DAVINCI CAPITAL MANAGEMENT, INC.
September 13, 2004 - April 26, 2006
DAVINCI CAPITAL MANAGEMENT, INC.
November 23, 2001 - June 11, 2002
METROPOLITAN LIFE INSURANCE COMPANY
November 23, 2001 - June 11, 2002
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/8/2005
Limited Representative-Equity Trader ExamCurrent Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
