Timothy S. Sullivan

CAPITAL ANALYSTS

Waltham, MA 02451

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CRD#: 4088996

Professional summary

Timothy Scott Sullivan is a registered financial advisor currently at CAPITAL ANALYSTS located in Waltham, Massachusetts and LINCOLN INVESTMENT located in Waltham, Massachusetts.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Timothy has worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Stinky Socks Hockey Position: Hockey Referee Nature: Recreational Hockey Investment Related: No Hours: 10 Securities Trading Hours: 0 Start Date: 9/15/2025 Address: 369 Congress St, Floor 7B Boston, Massachusetts 02210 Description: Refereeing community based hockey games on weekends and occasional weeknights.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Scott Sullivan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 9, 2020 - Present

CAPITAL ANALYSTS

Office #1: 303 Wyman Street Suite 275, Waltham, MA 02451

RIA

CRD#: 162200

Waltham, MA

Current

November 6, 2020 - Present

LINCOLN INVESTMENT

Office #1: 303 Wyman Street Suite 300, Waltham, MA 02451

RIA

CRD#: 519

Waltham, MA

Past

May 10, 2007 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

WALTHAM, MA

Past

April 9, 2007 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

WALTHAM, MA

Past

September 12, 2005 - March 26, 2007

COUNTRYWIDE INVESTMENT SERVICES, INC.

CRD#: 103919

FRAMINGHAM, MA

Past

January 6, 2004 - September 29, 2005

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

June 4, 2002 - August 19, 2003

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

March 16, 2000 - May 7, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN DIEGO, CA

Past

February 7, 2000 - May 7, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, 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".

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 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.

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

Connecticut
(11/6/2020)

Florida
(11/6/2020)

IAR

Massachusetts
(11/9/2020)

Massachusetts
(11/16/2020)

New Hampshire
(11/6/2020)

Rhode Island
(11/6/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/8/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/17/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/9/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

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Contact information

Main Address

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

Phone number

(800) 242-1421

Established

Firm type

Fiscal year end

# of Employees

739

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts	26,578
AUM (Assets Under Management)	$ 8,713,202,466

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	Cover Page	Report

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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Timothy S. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Scott Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN INVESTMENT

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

COUNTRYWIDE INVESTMENT SERVICES, INC.

CITIZENS SECURITIES, INC.

NEW ENGLAND SECURITIES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CAPITAL ANALYSTS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/8/2007

Series 66

Date: 2/17/2000

SIE

Date: 10/1/2018

Series 7

Date: 2/3/2000

Series 24

Date: 2/9/2005

FINRA

Current Firm

CAPITAL ANALYSTS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL ANALYSTS

TRUST BUT VERIFY

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