BS
Benjamin G. Sullivan
COLLABORATIVE WEALTH
Lake Mary, FL 32746
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CRD#: 6702038
BS
Professional summary
Benjamin Graham Sullivan is a registered financial advisor currently at COLLABORATIVE WEALTH located in Lake Mary, Florida.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Benjamin has worked at 1 firm and has passed the Series 65 and SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Graham 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®
NoneExperience
Current
July 22, 2022 - Present
COLLABORATIVE WEALTH
Office #1: 972 International Parkway, Lake Mary, FL 32746RIA
CRD#: 142106
Lake Mary, FL
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".
CW
COLLABORATIVE WEALTH
COLLABORATIVE WEALTH | GARRISON WEALTH MANAGEMENT | FALCON FINANCIAL MANAGEMENT | COLLABORATIVEWEALTH TREASURE COAST | COLLABORATIVEWEALTH LAKE NONA | COLLABORATIVEWEALTH GAINESVILLE | COLLABORATIVE WEALTH MANAGEMENT, INC.
CRD#: 142106 / SEC#: 801-80100
RIA
Registered Investment Advisory firm - (8/6/2014 Approved)Indiana
Registered Investment Advisory firm - (12/23/2008 Terminated)Texas
Registered Investment Advisory firm - (8/7/2014 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.Highlighted states indicate IAR registrations
IAR
Florida(7/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
CW
COLLABORATIVE WEALTH
COLLABORATIVE WEALTH | GARRISON WEALTH MANAGEMENT | FALCON FINANCIAL MANAGEMENT | COLLABORATIVEWEALTH TREASURE COAST | COLLABORATIVEWEALTH LAKE NONA | COLLABORATIVEWEALTH GAINESVILLE | COLLABORATIVE WEALTH MANAGEMENT, INC.
CRD#: 142106 / SEC#: 801-80100
RIA
Registered Investment Advisory firm - (8/6/2014 Approved)Indiana
Registered Investment Advisory firm - (12/23/2008 Terminated)Texas
Registered Investment Advisory firm - (8/7/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
972 International Parkway, Lake Mary, FL 32746
Mailing Address
Phone number
(407) 792-3336
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,810 |
| AUM (Assets Under Management) | $ 564,031,327 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
