Patrick J. Sullivan
AIF®, CFP®Professional Summary
Patrick J. Sullivan, AIF®, CFP®, who also goes by Patrick Sullivan, is a registered financial advisor currently at HIGHMARK WEALTH MANAGEMENT LLC located in St. Paul, Minnesota and PURSHE KAPLAN STERLING INVESTMENTS located in St. Paul, Minnesota. Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Patrick has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Patrick Sullivan
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
HIGHMARK WEALTH MANAGEMENT | HIGHMARK WEALTH MANAGEMENT LLC
Contact Information
Main Address
944 Inwood Ave N, St. Paul, MN 55128Phone Number
(651) 829-3300# of Employees
5SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,679AUM (Assets Under Management)
$611,673,300Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
HIGHMARK WEALTH MANAGEMENT | HIGHMARK WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(2/14/2014)
(11/13/2014)
(10/26/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Patrick J. Sullivan's CRS (Customer Relationship Summary).
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