Bradley S. Sullivan
Sullivan Wealth Management Group | Senior Wealth AdvisorAFFILIATED WITH MUTUAL ADVISORS
Roseville, CA 95661
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CRD#: 4733405
Professional summary
Bradley Scott Sullivan, CFP®, who also goes by Brad Sullivan, is a registered financial advisor currently at MUTUAL ADVISORS, LLC located in Roseville, California and MUTUAL SECURITIES, INC. located in Roseville, California.
Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Bradley has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Brad Sullivan, CFP® is the co-founder of the Sullivan Wealth Management Group and brings over 20 years of experience in the financial services and investment management industry to his clients. Brad serves as a Senior Portfolio Manager and Certified Financial Planner™ professional.
Prior to Brad's current role and taking the group independent, his experience has included working for some of the world's largest financial companies. Brad’s work has included serving as an analyst and accountant for over $30 billion of institutional portfolios, the wholesale distribution of insurance products, and regional commercial banking. Also, Brad began investing in the stock market in 1993 and started his career in the financial services industry in 1999.
Brad studied International Economics at the University of Reading in England, and he earned a bachelor’s degree in Business Administration and Finance from California State University, Chico. Brad also holds a Certificate in Personal Financial Planning from the University of California, Irvine.
In the community Brad has served on the Board of Directors for the March of Dimes, as the Treasurer for Lakehills Covenant Church, as a Board Member for the Active 20/30 Club of Sacramento, and as a Coach for Newport Beach / Irvine Pony Baseball.
Before bringing the Sullivan Wealth Management Group to an independent RIA firm, Brad had assumed the following positions:
Senior Portfolio Manager & Vice President with Morgan Stanley – Roseville & Newport Beach, CA
Financial Advisor with The Sullivan Group at Wachovia Securities - Sacramento
Offshore Portfolio Analyst for PIMCO – Newport Beach
Senior Internal Wholesaler for MetLife Investors – Newport Beach
Senior International Portfolio Accountant for Barclays Global Investors (Investors Bank & Trust) – Sacramento
Regional Commercial Banking with Wells Fargo – San Francisco Bay Area
CA Insurance License # 0E25573
Question & Answer
What are your service offerings?
Long-term Care
Retirement Income Management
Inheritance
Education Planning
Investment Planning
Elder Care
Divorce Planning
Insurance Planning
Life Transitions
Comprehensive Financial Planni...
Small Business Planning
Retirement Planning
Do you have an area of expertise or specialization?
Comprehensive Financial Planni...
Attending College
401(k)/403(b)/IRAs
Buying a Home
Charitable & Planned Giving
Annuities
Asset Allocation
Career Change
Estate Planning
Investment Management
Limited Partnerships
Getting Divorced
Employee Benefits
Mutual Funds
Getting Married
Job Loss
Real Estate
Insurance
Retirement
Stocks & Bonds
Life Planning
Startup
Succession Planning
Starting a Family
Tangible Assets
Long-term Care
Sudden Wealth
Men's Finances
Nontraditional Households
Special Needs
Women's Finances
Are you a "fiduciary"?
Yes
Aliases
Brad 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.
1. Independent Insurance Agent, Sole Proprietor, Start Date: 07/01/2013, 3721 Douglas Blvd., Suite 205, Roseville, CA 95661, Self/Sole Proprietor, Insurance Transactions, Insurance Agent, Selling Insurance products such as term life insurance, life insurance, LTC, health insurance, etc., Not Investment Related, 5 Hours per month, .25 Hours per day during trading hours.
2. Sullivan Wealth Management Advisors, LLC., Start Date: 03/01/2016, 3721 Douglas Blvd., Ste. 205, Roseville, CA 95661, LLC, RIA - Insurance Agency -Brokerage, Managing Partner, Comprehensive Wealth Management Practice, Investment Related, 160 Hours per month, 8 Hours per day during trading hours.
3. Health Insurance Agent, Start Date: 12/01/2018, 3721 Douglas Blvd., Ste. 205, Roseville, CA 95661, Self, Health Insurance, Agent, Health Insurance Agent referring business to California Choice, Not Investment Related, 1 Hour per month, 0 Hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Scott 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®
CFP®
Start date: 2006
Experience
Current
March 1, 2016 - Present
MUTUAL ADVISORS, LLC
Office #1: 3721 Douglas Blvd. Ste. 205, Roseville, CA 95661Office #2: 895 Dove St. Ste. 300, Newport Beach, CA 92660RIA
CRD#: 167658
Roseville, CA
Current
July 18, 2013 - Present
MUTUAL SECURITIES, INC.
Office #1: 3721 Douglas Blvd. Ste. 205, Roseville, CA 95661Office #2: 895 Dove St. Ste. 300, Newport Beach, CA 92660BD
CRD#: 13092
Roseville, CA
Past
July 30, 2013 - March 3, 2016
BEVERLY HILLS WEALTH MANAGEMENT, LLC
RIA
CRD#: 152031
BEVERLY HILLS, CA
Past
June 1, 2009 - August 7, 2013
MORGAN STANLEY
RIA
CRD#: 149777
NEWPORT BEACH, CA
Past
June 1, 2009 - August 7, 2013
MORGAN STANLEY
BD
CRD#: 149777
NEWPORT BEACH, CA
Past
December 17, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ROSEVILLE, CA
Past
December 17, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ROSEVILLE, CA
Past
May 15, 2006 - December 19, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROSEVILLE, CA
Past
May 3, 2006 - December 19, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROSEVILLE, CA
Past
December 11, 2004 - March 24, 2006
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NEW YORK CITY, NY
Past
January 28, 2004 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
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".
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
Registered Investment Advisory firm - (5/26/2013 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.RR
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
RR
Alabama(10/23/2023)
RR
Alaska(9/17/2020)
RR
Arizona(10/27/2021)
RR
California(7/18/2013)
IAR
California(3/1/2016)
RR
Colorado(7/3/2018)
RR
Hawaii(10/27/2021)
RR
Nevada(10/27/2021)
RR
Oregon(1/4/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
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Contact information
Main Address
9140 W Dodge Road Suite 230, Omaha, NE 68114
Mailing Address
Phone number
(307) 439-6357
Established
Firm type
Fiscal year end
# of Employees
189
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,515 |
| AUM (Assets Under Management) | $ 6,750,194,248 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MUTUAL ADVISORS, LLC
Senior Wealth AdvisorCRD#: 167658Roseville, CA 95661DBA Information
Sullivan Wealth Management Group
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Contact information
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