Casey D. Sullivan

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CRD#: 4763464

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Casey Dominic Sullivan, who also goes by Casey Dominic Sullivan Mr, was a registered financial professional .

Casey is a previously registered financial professional and started their career in finance in 2004. Casey had worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Casey Dominic Sullivan Mr

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. ASHWORTH & SULLIVAN WEALTH MANAGEMENT GROUP, LLC; INVESTMENT RELATED 30000 MILL CREEK AVE SUITE 340 ALPHARETTA GA 30022; REGISTERED INVESTMENT ADVISORY FIRM MANAGING PARTNER, MEMBER; 5.2007; 80 HRS/MO; 4HRS/DAY; ADVISORY FEE'S COLLECTED THROUGH CUSTODIAN AND PAID THROUGH THIS MEMBER FIRM.; GATHERING CLIENT INFO, ASSESSING CLIENT NEEDS, FINANCIAL PLAN PRESENTATION, IMPLEMENTATION, PORTFOLIO RESEARCDH, MONITORING, REBALANCING. 2. LICENSED INSURANCE AGENT; NOT INVESTMENT RELATED; 30000 MILL CREEK AVE, SUITE 340 ALPHARETTA GA 30022; INSURANCE SALES; AGENT 5/2007; 10 HRS/MO; 1/2.PER DAY; INSRUANCE COMMISSIONS PAID THROUGH THIS MEMBER FIRM BY ASH BROKERAGE. COMPENSATION VARIES; GATHERING CLIENT INFO, ASSESSING CLIENT NEEDS, RESEARCHING OPTIONS, PRESENTATION, COLLECTION OF INSURANCE PAPERWORK, POLICY DELIVERY. 3)TRIBUTE FINE ART,LLC;NOT INVESTMENT RELATED;4356 SPRINGWOOD CT,MARIETTA,GA 30068;CREATION,LICENSING AND DISTRIBUTION OF ON-DEMAND FINE ARTWORK;SENIOR PARTNER;4/18/2013;50 HRS/MONTH;1 HR DURING TRADING;MANAGING INTELLECTUAL PROPERTY CONTRACTS,RETAILER AND WHOLESALER RELATIONSHIPS,TALENT MANAGER 4)Rental Home;not investment related;rental home;owner,landlord;10/2012;0 hrs/month;0 hrs during trading;fix broken things,maintain property safety & insurance

Blog Corner

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

Past

July 2, 2009 - November 21, 2022

BLUECHIP WEALTH ADVISORS LLC

RIA

CRD#: 150008

MILTON, GA

Past

April 20, 2009 - October 19, 2009

TRIAD ADVISORS LLC

RIA

CRD#: 25803

ALPHARETTA, GA

Past

April 20, 2009 - June 28, 2021

TRIAD ADVISORS LLC

CRD#: 25803

ALPHARETTA, GA

Past

May 25, 2007 - April 15, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALPHARETTA, GA

Past

May 18, 2007 - April 15, 2009

LPL FINANCIAL LLC

CRD#: 6413

ALPHARETTA, GA

Past

April 30, 2004 - June 14, 2007

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

ALPHARETTA, GA

Past

April 20, 2004 - June 14, 2007

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ALPHARETTA, GA

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".

BLUECHIP WEALTH ADVISORS LLC

CRD#: 150008 / SEC#: 801-115105

RIA

Registered Investment Advisory firm - (4/26/2019 Approved)

Georgia

Registered Investment Advisory firm - (5/31/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/9/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2019 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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 4/29/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2009

General Securities Principal Examination

Current Firm

BLUECHIP WEALTH ADVISORS LLC

CRD#: 150008 / SEC#: 801-115105

RIA

Registered Investment Advisory firm - (4/26/2019 Approved)

Georgia

Registered Investment Advisory firm - (5/31/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/9/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2019 Terminated)

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Contact information

Main Address

12655 Birmingham Hwy Suite 201, Milton, GA 30004

Mailing Address

Phone number

(770) 771-5812

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEI WRAP FEE BROCHURE (3/28/2025)

BLUECHIP WEALTH ADVISORS PART 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,188
AUM (Assets Under Management)	$ 637,012,604

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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Advisor Monitoring

Firm Stability Insights

Casey D. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

BLUECHIP WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/19/2004

Series 24

Date: 7/29/2009

Current Firm

BLUECHIP WEALTH ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLUECHIP WEALTH ADVISORS LLC

TRUST BUT VERIFY

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