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Neil J. Sullivan

Some features on this profile are disabled
CRD#: 4344039
NS

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.

Neil Joseph Sullivan was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 2001. Neil had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?
No

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.
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

February 8, 2001 - December 31, 2025

AUGUSTINE ASSET MANAGEMENT INC

RIA
CRD#: 105801
JACKSONVILLE, FL

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".
AA
AUGUSTINE ASSET MANAGEMENT INC
AUGUSTINE ASSET MANAGEMENT INC

CRD#: 105801 / SEC#: 801-23187

RIA
Registered Investment Advisory firm - (2/5/1985 Approved)

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

Current Firm

AA
AUGUSTINE ASSET MANAGEMENT INC
AUGUSTINE ASSET MANAGEMENT INC

CRD#: 105801 / SEC#: 801-23187

RIA
Registered Investment Advisory firm - (2/5/1985 Approved)
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Contact information

Main Address
1551 Atlantic Blvd Suite 301, Jacksonville, FL 32207-3369
Mailing Address
Phone number
(904) 396-6944
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AUGUSTINE 20254 ANNUAL ADV PARTS 2A AND 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts411
AUM (Assets Under Management)$ 660,230,137

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

AUGUSTINE ASSET MANAGEMENT INC

CRD#: 105801

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