AS
Adam M. Sullivan
ARLEN CAPITAL
WARWICK, RI 02886
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CRD#: 4901150
AS
Professional summary
Adam Mccrystal Sullivan is a registered financial advisor currently at ARLEN CAPITAL, LLC located in Warwick, Rhode Island and OSAIC WEALTH, INC. located in Warwick, Rhode Island.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Adam has worked at 2 firms and has passed the Series 66, 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. METRO EAST OFFICE PARK CONDOMINIUM I POSITION: Board Member - NATURE: Corporation Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/11/2010 ADDRESS: 117 Metro Center Blvd, Warwick RI 02886, United States DESCRIPTION: Director of condo board of a 15 suite office condo. We meet once a year to vote on the assoc. budget and maintenance issues. 2. ARLEN CORPORATION POSITION: VP NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/30/2010 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Non-Variable Life Insurance Sales 3. ARLEN CAPITAL LLC POSITION: Advisor NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/21/2005 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Work with fellow advisors on planning for high net worth clients and I serve on the investment committee. 4. ARLEN REALTY POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/09/2008 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwcik RI 02886, United States DESCRIPTION: The sole purpose of Arlen Realty is to own our office condo that Arlen Corporation resides. It does not have any other objectives.
CRS (Client Relationship Summary) - RIA
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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
April 11, 2006 - Present
ARLEN CAPITAL, LLC
Office #1: 117 Metro Center Boulevard Suite 2006, Warwick, RI 02886RIA
CRD#: 118113
WARWICK, RI
Current
December 21, 2005 - Present
OSAIC WEALTH, INC.
Office #1: 117 Metro Center Blvd Suite 2006, Warwick, RI 02886RIA
BD
CRD#: 23131
Warwick, RI
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".
AC
ARLEN CAPITAL, LLC
ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS
CRD#: 118113 / SEC#: 801-63038
RIA
Registered Investment Advisory firm - (4/14/2004 Approved)Rhode Island
Registered Investment Advisory firm - (4/21/2004 Terminated)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
Connecticut(2/15/2006)
RR
Massachusetts(2/15/2006)
RR
Rhode Island(2/15/2006)
IAR
Rhode Island(4/11/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ARLEN CAPITAL, LLC
ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS
CRD#: 118113 / SEC#: 801-63038
RIA
Registered Investment Advisory firm - (4/14/2004 Approved)Rhode Island
Registered Investment Advisory firm - (4/21/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
117 Metro Center Boulevard Suite 2006, Warwick, RI 02886
Mailing Address
Phone number
(401) 854-3500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 691 |
| AUM (Assets Under Management) | $ 331,251,085 |
Red Flags
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Company Information
ARLEN CAPITAL, LLC
CRD#: 118113Warwick, RI 02886TRUST BUT VERIFY
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