Benjamin C. Sullivan

PALISADES HUDSON ASSET MANAGEMENT, L.P.

Austin, TX 78759

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CRD#: 6615322

Professional summary

Benjamin Casey Sullivan, CFP®, who also goes by Ben Sullivan, is a registered financial advisor currently at PALISADES HUDSON ASSET MANAGEMENT, L.P. located in Austin, Texas.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Benjamin has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Sullivan

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)PALISADES HUDSON FINANCIAL GROUP LLC, 2)NON INVESTMENT-RELATED, 3)9442 NORTH CAPITAL OF TEXAS HWY, PLAZA ONE, SUITE 500, AUSTIN, TX 78759, 4)FINANCIAL PLANNING BUSINESS, 5)SENIOR CLIENT SERVICE MANAGER, 6)START DATE: FEBRUARY 12, 2007, 7)HOURS PER MONTH DEVOTED TO THIS BUSINESS: 100, 8) 3 HRS/DAY DURING SECURITIES TRADING, 9) DUTIES: TAX PREPARATION AND PLANNING, RETIREMENT PLANNING, ESTATE PLANNING, AND OTHER FINANCIAL PLANNING SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Casey Sullivan's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2010

Experience

Current

March 2, 2016 - Present

PALISADES HUDSON ASSET MANAGEMENT, L.P.

Office #1: 9442 North Capital Of Texas Highway Plaza One, Suite 500, Austin, TX 78759

RIA

CRD#: 109134

Austin, TX

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".

PALISADES HUDSON ASSET MANAGEMENT, L.P.

PALISADES HUDSON ASSET MANAGEMENT INC | PALISADES HUDSON ASSET MANAGEMENT, L.P.

CRD#: 109134 / SEC#: 801-55677

RIA

Registered Investment Advisory firm - (6/29/1998 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.

Highlighted states indicate IAR registrations

IAR

Texas
(3/2/2016)

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.

Exams

Current Firm

PALISADES HUDSON ASSET MANAGEMENT, L.P.

PALISADES HUDSON ASSET MANAGEMENT INC | PALISADES HUDSON ASSET MANAGEMENT, L.P.

CRD#: 109134 / SEC#: 801-55677

RIA

Registered Investment Advisory firm - (6/29/1998 Approved)

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Contact information

Main Address

200 Sw First Avenue Suite 800, Fort Lauderdale, FL 33301

Mailing Address

Phone number

(954) 524-5552

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 6/30/2025 (6/30/2025)

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 1,655,681,302

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
01/17/2024	Cover Page	Report
02/15/2023	Cover Page	Report

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.

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Benjamin C. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Casey Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

PALISADES HUDSON ASSET MANAGEMENT, L.P.

Primary Firm SEC Registration

PALISADES HUDSON ASSET MANAGEMENT, L.P.

State Registrations and Notice Filings

Exams

Current Firm

PALISADES HUDSON ASSET MANAGEMENT, L.P.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PALISADES HUDSON ASSET MANAGEMENT, L.P.

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