Edmund B. 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.
Edmund Bernard Sullivan JR, who also goes by Edmund Bernard Sullivan, was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 1969. Edmund had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2016 - May 15, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 11, 2016 - May 15, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 28, 1991 - February 22, 2016
LPL FINANCIAL LLC
March 22, 1985 - February 22, 2016
LPL FINANCIAL LLC
February 24, 1978 - April 3, 1985
MORGAN STANLEY DW INC.
December 12, 1973 - February 24, 1978
REYNOLDS SECURITIES, INC.
July 11, 1973 - March 5, 1974
HAYDEN STONE INC.
December 11, 1969 - June 1, 1973
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 12/9/1969
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
