Joseph A. 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.
Joseph Aloysius Sullivan, who also goes by Joe Sullivan, Joseph A Sullivan, Joseph Aloysius Sullivan, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2019 - January 22, 2020
TD PRIVATE CLIENT WEALTH LLC
February 7, 2019 - January 22, 2020
TD PRIVATE CLIENT WEALTH LLC
April 21, 2010 - July 13, 2018
TD AMERITRADE, INC.
April 21, 2010 - July 13, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 21, 2010 - July 13, 2018
TD AMERITRADE, INC.
November 27, 2007 - December 16, 2009
TD AMERITRADE, INC.
November 27, 2007 - December 16, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 14, 2007 - December 16, 2009
TD AMERITRADE, INC.
December 9, 2005 - October 19, 2007
SIGNATOR INVESTORS, INC.
October 16, 2002 - October 27, 2004
FINANCIAL CONSULTANT GROUP, LLC
July 31, 2002 - September 25, 2002
THE ADVISORS GROUP, INC.
December 20, 2001 - September 25, 2002
THE ADVISORS GROUP, INC.
November 8, 2000 - December 6, 2001
FINANCIAL CONSULTANT GROUP, LLC
March 24, 1999 - November 30, 2000
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
