Brian W. Sullivan
THURSTON SPRINGER ADVISORS | Financial Consultant
Mishawaka, IN 46545
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CRD#: 4835369
Professional summary
Brian Sullivan, who also goes by Brian Wesley Sullivan Mr., is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Mishawaka, Indiana and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Mishawaka, Indiana.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Brian Sullivan is the Portfolio Analyst at the Patzer Group Wealth Management. Brian is responsible for the Patzer Group’s portfolios, overseeing trading activity, and monitoring advisory accounts. Brian also conducts investment research to build and improve the Patzer Group’s multiple custom investment strategies. Brian has been with the Patzer Group since 2015 and previously worked at JPMorgan and Fidelity Investments.
Brian earned a Bachelor of Business Administration in Finance and Marketing from the University of Cincinnati, as well as a Master of Business Administration from Loyola University Chicago. Brian also holds a Certified Fund Specialist designation. With his CFS certification, Brian has demonstrated his expertise in mutual funds and other products allowing him to provide a more holistic investment approach for clients.
Brian is married to his wife, Jenifer, and has two sons: Jacob and Jason. Brian enjoys getting involved in the local community and coaches a number of his sons’ sports teams including baseball, basketball, and soccer. Brian is also the Committee Chair of the local Cub Scout Pack. In his free time, Brian enjoys hiking and camping and also loves to watch college football.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Wesley 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.
PACK 562 BOY SCOUTS OF AMERICA; NOT INVESTMENT RELATED; GRANGER,IN; START DATE 02/28/2019; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 0; RUN COMMITTEE MEETINGS, ORGANIZE ACTIVITIES, PURCHASE SUPPLIES, APPROVE PROGRAM PLANS, WORK WITH TREASURER TO ENSURE ACCURATE BOOKS.
CRS (Client Relationship Summary) - RIA
Click below to view Brian 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®
NoneExperience
Current
December 9, 2024 - Present
THURSTON SPRINGER ADVISORS
Office #1: 1736 E Day Road Ste 300, Mishawaka, IN 46545RIA
CRD#: 299201
Mishawaka, IN
Current
December 9, 2024 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
Office #1: 1736 E. Day Road Suite 100, Mishawaka, IN 46545BD
CRD#: 8478
MISHAWAKA, IN
Past
December 15, 2015 - December 17, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MISHAWAKA, IN
Past
November 2, 2015 - December 17, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
MISHAWAKA, IN
Past
October 1, 2008 - July 25, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
August 15, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
CHICAGO, IL
Past
August 15, 2007 - September 17, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
August 20, 2004 - June 12, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CINCINATTI, OH
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".
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 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.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
Indiana(12/9/2024)
IAR
Indiana(12/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 581-4000
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
Company Information
THURSTON SPRINGER ADVISORS
Financial ConsultantCRD#: 299201Mishawaka, IN 46545TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
