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MS

Michael A. Sullivan

INDIANAPOLIS, IN
Some features on this profile are disabled
CRD#: 4573621
MS

Professional summary

Michael A. Sullivan II was a registered financial advisor .

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael had worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

top-8-questions

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.
1. 06/26/2025 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 05/14/2025 - 10 Hours Per Month/ 10 Hrs During Trading

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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

Current

September 11, 2025 - Present

INDIANAPOLIS, IN
Past

December 17, 2010 - September 12, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
INDIANAPOLIS, IN
Past

December 17, 2010 - September 12, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
INDIANAPOLIS, IN
Past

June 10, 2005 - January 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
INDIANAPOLIS, IN
Past

June 10, 2005 - January 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
INDIANAPOLIS, IN
Past

October 28, 2002 - July 8, 2005

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
INDIANAPOLIS, IN
Past

October 14, 2002 - July 8, 2005

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Indiana
(9/11/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/25/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/21/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/14/2011
General Securities Principal Examination

Current firm

No current employment

Red Flags

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Company Information

No current employment

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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