Richard P. Sullivan

FISCAL DYNAMICS

FARMINGTON, CT 06032

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CRD#: 439785

Professional summary

Richard Parker Sullivan is a registered financial advisor currently at FISCAL DYNAMICS INCORPORATED located in Farmington, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Richard has worked at 6 firms and has passed the Series 63, Series 1 and Series 40 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Parker Sullivan's 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

March 4, 1986 - Present

FISCAL DYNAMICS INCORPORATED

Office #1: 314 Farmington Avenue, Suite 100, Farmington, CT 06032

RIA

CRD#: 111155

FARMINGTON, CT

Past

May 21, 1993 - December 31, 2004

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

November 1, 1989 - April 20, 1993

STITELER INVESTMENTS, INC.

CRD#: 7593

Past

March 21, 1986 - July 15, 1989

CHELSEA STREET SECURITIES, INC.

CRD#: 17548

Past

February 29, 1984 - July 31, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 16, 1967 - August 3, 1984

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(3/4/1986)

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.

Exams

State Security Law Exam

Series 63

Date: 6/15/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 9/19/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 9/14/1978

Registered Principal Examination

Current Firm

FISCAL DYNAMICS INCORPORATED

CRD#: 111155 / SEC#: 801-63175

RIA

Registered Investment Advisory firm - (5/10/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (5/9/2012 Approved)

Florida

Registered Investment Advisory firm - (6/11/2004 Terminated)

Louisiana

Registered Investment Advisory firm - (6/12/2023 Approved)

Massachusetts

Registered Investment Advisory firm - (6/23/2004 Terminated)

New York

Registered Investment Advisory firm - (7/28/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

314 Farmington Avenue Suite 100, Farmington, CT 06032

Mailing Address

Phone number

(860) 677-1753

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 32,059,545

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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Richard P. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Parker Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISCAL DYNAMICS INCORPORATED

OSAIC FS, INC.

STITELER INVESTMENTS, INC.

CHELSEA STREET SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/15/1984

Series 1

Date: 9/19/1967

Series 40

Date: 9/14/1978

Current Firm

FISCAL DYNAMICS INCORPORATED

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FISCAL DYNAMICS INCORPORATED

TRUST BUT VERIFY

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