CS
Charles V. Sullivan
BOLTON SECURITIES
North Andover, MA 01845
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CRD#: 4863871
CS
Professional summary
Charles Vincent Sullivan, CFP® is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in North Andover, Massachusetts and BOLTON GLOBAL CAPITAL located in North Andover, Massachusetts.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Charles has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
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) Investment Advisor Representative with Bolton Global Asset Management, doing business under 'North Andover Trust Corp.'. Spends approximately 25 hours outside of trading hours on this activity per month. Began upon association with current firm. 2) Owner, President, and Treasurer of Sullivan, Dixon & Co., PC. Acting as CPA, providing accounting and bookkeeping services. Not investment related. Located at 59 Lowes Way, Suite 402, Lowell, MA 01851. Spends approximately 120 hours per month during trading hours and 25 hours outside of trading hours. Entity established 2008. Has been CPA since 1994. 3) Has been fixed insurance licensed since 2016 but is not spending time during business hours or outside business hours on activity. Investment related to extent a plan fits into a client's financial profile. Takes place most likely from CPA Firm location, but potentially from Branch location. Charles is contact person for this OBA. 4) Co-owner of VCM Advisors, LLC, entity established 08/2004 in state of MA with Bolton Rep/Advisor to split business. Not directly investment related. Conducted from Branch location. Less than 1-hour spent per month on activity, potentially during business hours. Michael is contact person.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Vincent Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Vincent 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: 2003
Experience
Current
January 12, 2007 - Present
BOLTON SECURITIES CORPORATION
Office #1: 30 Massachusetts Ave Suite 104, North Andover, MA 01845Office #2: 59 Lowes Way Suite 402, Lowell, MA 01851RIA
BD
CRD#: 129376
North Andover, MA
Current
November 19, 2004 - Present
BOLTON GLOBAL CAPITAL
Office #1: 30 Massachusetts Avenue Suite 104, North Andover, MA 01845BD
CRD#: 15650
North Andover, MA
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".
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Maine(1/7/2011)
RR
Massachusetts(11/19/2004)
IAR
Massachusetts(1/12/2007)
RR
New Hampshire(3/17/2005)
IAR
New Hampshire(3/27/2007)
RR
New York(2/2/2017)
RR
Rhode Island(2/11/2009)
RR
Virgin Islands(1/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-6947
Established
Delaware since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
154
SEC notice filing (38 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,977 |
| AUM (Assets Under Management) | $ 7,004,872,405 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
