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Bradford Sullivan

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CRD#: 3063652
BS
Bradford 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.

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

Bradford is a previously registered financial professional and started their career in finance in 1997. Bradford had worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 21, Series 25, Series 7 and Series 24 exams.

Aliases

Brad Sullivan | Bradford 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

July 6, 2021 - March 15, 2022

DEMPSEY LORD SMITH, LLC

BD
CRD#: 141238
ATLANTA, GA
Past

May 16, 2017 - July 14, 2021

STONEX FINANCIAL INC.

BD
CRD#: 45993
Atlanta, GA
Past

November 10, 2010 - May 9, 2017

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

BD
CRD#: 329
SEATTLE, WA
Past

June 15, 2007 - November 4, 2010

NEONET SECURITIES, INC.

BD
CRD#: 46938
JERSEY CITY, NJ
Past

April 3, 2007 - May 31, 2007

WESTOR CAPITAL GROUP, INC.

BD
CRD#: 103823
NEW YORK, NY
Past

September 2, 1997 - July 18, 2003

VAN DER MOOLEN SPECIALISTS USA, LLC

BD
CRD#: 32034
NEW YORK, NY

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.

Exams

What does exam status mean?
State Security Law Exam
PR
Series 63
Status Unavailable
Passed: 9/20/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
PR
Series 99TO
Status Unavailable
Passed: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
PR
Series 57TO
Status Unavailable
Passed: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 55
Status Unavailable
Passed: 8/7/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
PR
Series 21
Status Unavailable
Passed: 8/22/2002
NYSE Front Line Specialist Clerk
General Industry/Product Exam
PR
Series 25
Status Unavailable
Passed: 5/18/1999
NYSE Trading Assistant Examination
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 6/26/1998
General Securities Representative Examination
Principal/Supervisory Exam
PR
Series 24
Status Unavailable
Passed: 2/20/2009
General Securities Principal Examination

Current Firm

DL
DEMPSEY LORD SMITH, LLC
1SOURCE | WRS | WEST COBB INVESTMENT GROUP | WEEKS RETIREMENT SOLUTIONS | WEALTH POINT ADVISORS NC | TIM COUCH PC CPA | THE HANEY COMPANY | THE DIAMOND GROUP INC. | STERN INVESTMENTS | SOUTHEAST ASSET MANAGEMENT | SHALIN FINANCIAL SERVICES, INC. | SC RETIREMENT PLANNING | S M SHAW | ROGER'S RETIREMENT READINESS ALLIANCE, LLC | RETIREMENT STRATEGY CONNECTION | RETIREMENT SOLUTIONS INC. | PREMIER TAX ADVISORS | PREFERRED FINANCIAL SOLUTIONS, LLC | PLUS POINT ADVISORS | PINPOINT FINANCIAL SERVICES, INC | PERRY GOSSETT INSURANCE | PARPARI ASSET MANAGEMENT INC. | OLNEY FINANCIAL | NEXSTONE FINANCIAL SOLUTIONS, INC | NATIC TAYLOR & CO LLC | MORGAN WEALTH MANAGEMENT | MICEL FINANCIAL, LLC | MARK MADDOX FINANCIAL | LYLES WEALTH MANAGEMENT | LEIGH FINANCIAL SERVICES | JLP INVESTMENTS INC | JESSE J GRIFFIN JR | INSURANCE WALA | ILLUMINATION FINANCIAL ADVISORS | HYDEPARK WEALTH ADVISORS | HOLLAND WEALTH MANAGEMENT | HN FINANCIAL GROUP | GRANDVIEW WEALTH MANAGEMENT | GIBSON RETIREMENT PLANNING | GERRELLS CPA | FRONT PAGE FINANCIAL ADVISORS, LLC | FRED ADAMS TAX | FOOTHILLS FINANCIAL STRATEGIES | FINANCIAL INTEGRITY GROUP | FALK WEALTH MANAGEMENT | EXCLUSIVE FINANCIAL STRATEGIES | ECKEL FINANCIAL | DEMPSEY, LORD, SMITH, LLC | DEMPSEY LORD SMITH, LLC | DEANS CONSULTING | CRESCENT WEALTH MANAGEMENT | CRESCENT WEALTH ADVISORS | CORNERSTONE FINANCIAL, LLC | CORE CAPITAL MARKETS, LLC | COPIA INVESTMENTS LLC | COOSA FINANCIAL PLANNING GEORGIA | COLABORATIVE INVESTMENT MANAGEMENT | CLAIR LORD JARRETT | CHARLES MURPHY INSURANCE | BROCK FINANCIAL SERVICES, INC. | BREEN FINANCIAL | BLANTON FINANCIAL GROUP | BENNETT & PORTER WEALTH MANAGEMENT & INSURANCE | BELMONT CAPTIAL ADVISORS | BAXTER INSURANCE AGENCY | AEGEUS FINANCIAL SOLUTIONS, INC. | ADAM SCOTT & ASSOCIATES | AAPT, LLC

CRD#: 141238 / SEC#: 801-108087, 8-67469

BD
Terminated by SEC on 02/24/2026
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Contact information

Main Address
901 N Broad Street Suite 400, Rome, GA 30161
Mailing Address
Phone number
(706) 238-9575
Established
Georgia since 04/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
92

FINRA licenses (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

DEMPSEY LORD SMITH LLC - WRAP FEE BROCHURE (3/31/2025)
DEMPSEY LORD SMITH LLC - FIRM BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
DEMPSEY, JERRY ESKEL JRCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER1869325

Regulatory assets under management

Total Number of Accounts2,444
AUM (Assets Under Management)$ 580,450,609

Disclosures

Regulatory Event6

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

DEMPSEY LORD SMITH, LLC

CRD#: 141238

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