James E. Sullivan
Professional summary
James E. Sullivan, CFP®, who also goes by James E. Sullivan Mr, Tra Sullivan Mr, is a registered financial advisor currently at BEAIRD HARRIS located in Dallas, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James E. Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2012
Experience
March 24, 2017 - Present
BEAIRD HARRIS
Office #1: 5005 Lyndon B Johnson Fwy Ste 1700, Dallas, TX 75244January 13, 2005 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
January 20, 2004 - January 26, 2017
STRATEGIC ADVISERS LLC
September 20, 2000 - January 24, 2017
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
BEAIRD HARRIS
CRD#: 107238 / SEC#: 801-51938
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/24/2017)
Exams
Current Firm
BEAIRD HARRIS
CRD#: 107238 / SEC#: 801-51938
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,188 |
| AUM (Assets Under Management) | $ 1,907,364,054 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/30/2025 | ||
| 01/28/2025 | ||
| 07/26/2023 |
Red Flags
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