Thomas L. Sullivan

CORDIS FINANCIAL

Minneapolis, MN 55413

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CRD#: 439818

Professional summary

Thomas Lee Sullivan, who also goes by Tom Sullivan, is a registered financial advisor currently at CORDIS FINANCIAL, LLC located in Minneapolis, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Thomas has worked at 6 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Sullivan

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 Thomas Lee 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

January 3, 2025 - Present

CORDIS FINANCIAL, LLC

Office #1: 3001 Broadway Street Ne Suite 100, Minneapolis, MN 55413

RIA

CRD#: 294766

Minneapolis, MN

Past

January 29, 2014 - January 28, 2025

THOMAS L. SULLIVAN

RIA

CRD#: 115437

ROSEVILLE, MN

Past

February 1, 1990 - December 31, 1991

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

Past

June 24, 1986 - February 21, 1990

PRINCETON AMERICAN EQUITIES CORPORATION

CRD#: 14491

Past

September 18, 1980 - June 26, 1986

MORISON SECURITIES, INC.

CRD#: 8097

Past

April 16, 1974 - March 26, 1980

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

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".

CORDIS FINANCIAL, LLC

CRD#: 294766 / SEC#: 801-113230

RIA

Registered Investment Advisory firm - (5/15/2018 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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(1/3/2025)

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: 12/5/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 4/11/1974

Registered Representative Examination

Current Firm

CORDIS FINANCIAL, LLC

CRD#: 294766 / SEC#: 801-113230

RIA

Registered Investment Advisory firm - (5/15/2018 Approved)

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Contact information

Main Address

3001 Broadway Street Ne Suite 100, Minneapolis, MN 55413

Mailing Address

Phone number

(612) 268-2620

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORDIS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/3/2025)

Regulatory assets under management

Total Number of Accounts	851
AUM (Assets Under Management)	$ 317,629,656

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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Thomas L. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lee Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORDIS FINANCIAL, LLC

THOMAS L. SULLIVAN

VSR FINANCIAL SERVICES, INC.

PRINCETON AMERICAN EQUITIES CORPORATION

MORISON SECURITIES, INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

CORDIS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/1980

Series 1

Date: 4/11/1974

Current Firm

CORDIS FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORDIS FINANCIAL, LLC

TRUST BUT VERIFY

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