Michael P. Sullivan

EMPOWER ADVISORY GROUP

Saugus, MA

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CRD#: 4567164

Professional summary

Michael P Sullivan, CFP®, who also goes by Michael Patrick Sullivan, Michael Sullivan, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Saugus, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 12 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Patrick Sullivan | Michael 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.

Saugus Public Library Board of Trustees | INVESTMENT RELATED: No | 295 Central Street Saugus, MA 01906 |Trustee | 1 hour per month none during trading hours | Approve new personnel hires and policies for the library. Saugus Cultural Council Investment related: No 298 Central Street, Saugus, 01906, Chair, meet one hour per month to review applications and award grants Town of Saugus Master Plan Advisory Committee Member of a committee that advise the Town Manager and Planning Board on the Town of Saugus Massachusetts'strategic plan. Non-investment related. The committee is scheduled to meet 6-8 times for an hour during the next twelve months.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael P 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®

CFP^®

Certified Financial Planner

Experience

Current

September 30, 2021 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Saugus, MA

Current

September 22, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

July 1, 2020 - September 8, 2021

SENTINEL PENSION ADVISORS, LLC.

RIA

CRD#: 109901

WAKEFIELD, MA

Past

June 16, 2020 - September 8, 2021

SENTINEL SECURITIES, LLC.

CRD#: 110942

WAKEFIELD, MA

Past

January 30, 2017 - January 15, 2020

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

Boston, MA

Past

January 4, 2010 - December 31, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

SAN FRANCISCO, CA

Past

January 4, 2010 - January 15, 2020

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

September 18, 2009 - January 4, 2010

EVERGREEN INVESTMENT MANAGEMENT CO

RIA

CRD#: 104594

BOSTON, MA

Past

November 27, 2007 - January 4, 2010

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

BOSTON, MA

Past

September 5, 2006 - October 8, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

QUINCY, MA

Past

October 20, 2004 - September 5, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

BURLINGTON, MA

Past

October 20, 2004 - September 5, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BURLINGTON, MA

Past

February 25, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

READING, MA

Past

January 29, 2004 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

September 27, 2002 - November 10, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(9/22/2021)

IAR

Massachusetts
(9/30/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/22/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/26/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

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Contact information

Main Address

8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

Mailing Address

Phone number

(866) 575-4977

Established

Firm type

Fiscal year end

# of Employees

822

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

Regulatory assets under management

Total Number of Accounts	250,707
AUM (Assets Under Management)	$ 159,120,330,491

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/28/2025	Cover Page	Report
11/21/2023	Cover Page	Report

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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Firm Stability Insights

Michael P. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael P Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

SENTINEL PENSION ADVISORS, LLC.

SENTINEL SECURITIES, LLC.

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

EVERGREEN INVESTMENT MANAGEMENT CO

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2002

SIE

Date: 10/1/2018

Series 31

Date: 10/22/2002

Series 7

Date: 9/26/2002

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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