Mary Jane N. Sullivan
SULLIVAN FINANCIAL
Essex, CT 06426
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CRD#: 5632328
Professional summary
Mary Jane Nmn Sullivan, CFP®, who also goes by Mary Jane Sullivan, Mary Jane Nmn Sullivan-klett, is a registered financial advisor currently at SULLIVAN FINANCIAL, LLC located in Essex, Connecticut.
Mary Jane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Mary Jane has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary Jane Sullivan | Mary Jane Nmn Sullivan-Klett
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. LIFE & HEALTH INSURANCE SALES, 11/2008-PRESENT, 100HRS/MO.
CRS (Client Relationship Summary) - RIA
Click below to view Mary Jane Nmn 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: 2017
Experience
Current
January 7, 2009 - Present
SULLIVAN FINANCIAL, LLC
Office #1: 15a Main Street, Essex, CT 06426RIA
CRD#: 121371
Essex, CT
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".
SF
SULLIVAN FINANCIAL, LLC
SULLIVAN FINANCIAL ADVISORS | SULLIVAN FINANCIAL, LLC
CRD#: 121371 / SEC#: 801-130753
RIA
Registered Investment Advisory firm - (7/25/2024 Approved)Connecticut
Registered Investment Advisory firm - (9/18/2024 Terminated)Florida
Registered Investment Advisory firm - (2/2/2023 Approved)Massachusetts
Registered Investment Advisory firm - (1/3/2023 Approved)New Hampshire
Registered Investment Advisory firm - (1/5/2023 Approved)Pennsylvania
Registered Investment Advisory firm - (1/18/2023 Approved)Texas
Registered Investment Advisory firm - (4/28/2021 Conditional Restricted)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.Highlighted states indicate IAR registrations
IAR
Connecticut(1/7/2009)
IAR
Florida(2/2/2023)
IAR
Massachusetts(1/3/2023)
IAR
New Hampshire(1/5/2023)
IAR
Pennsylvania(1/18/2023)
IAR
Texas(5/7/2021)
Current Firm
SF
SULLIVAN FINANCIAL, LLC
SULLIVAN FINANCIAL ADVISORS | SULLIVAN FINANCIAL, LLC
CRD#: 121371 / SEC#: 801-130753
RIA
Registered Investment Advisory firm - (7/25/2024 Approved)Connecticut
Registered Investment Advisory firm - (9/18/2024 Terminated)Florida
Registered Investment Advisory firm - (2/2/2023 Approved)Massachusetts
Registered Investment Advisory firm - (1/3/2023 Approved)New Hampshire
Registered Investment Advisory firm - (1/5/2023 Approved)Pennsylvania
Registered Investment Advisory firm - (1/18/2023 Approved)Texas
Registered Investment Advisory firm - (4/28/2021 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15a Main Street, Essex, CT 06426
Mailing Address
P.o. Box 557, Essex, CT 06426
Phone number
(860) 657-4150
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 110,935,667 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
