Barry P. Sullivan

WELLS FARGO ADVISORS FINANCIAL NETWORK

KEENE, NH 03431

Some features on this profile are disabled

CRD#: 705614

Professional summary

Barry Patrick Sullivan, CIMA® is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Keene, New Hampshire.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Barry has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

SULLIVAN & ASSOCIATES WEALTH MANAGEMENT, LLC; INV. RELATED; ROCHESTER, NY; 100% OWNERSHIP; START DATE 2014; 1 HR PER MONTH; 0 HRS DURING TRADING. TRUSTEE FOR SULLIVAN & ASSOCIATES WEALTH MANAGEMENT, LLC 401K; INV. RELATED; ROCHESTER, NY; START DATE 2014; 1 HR PER MONTH; 0 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Patrick Sullivan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Barry Patrick 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 11, 2003 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #1: 61 Summer St [satellite], Keene, NH 03431Office #2: 2626 W State Street #200 [office Of Convenience], Olean, NY 14760Office #3: 572 Titus Ave, Rochester, NY 14617Office #4: 1583 East Genesee Street [satellite], Skaneateles, NY 13152Office #5: 2809 Wehrle Dr Ste 14 [satellite], Williamsville, NY 14221

RIA

CRD#: 11025

KEENE, NH

Current

April 2, 2003 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

KEENE, NH

Past

June 25, 1998 - February 19, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PITTSFORD, NY

Past

February 20, 1980 - February 19, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

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

Alabama
(8/2/2016)

Alaska
(6/30/2022)

Arizona
(2/27/2008)

Arkansas
(4/6/2005)

California
(4/2/2003)

Colorado
(12/1/2005)

Connecticut
(1/11/2005)

Delaware
(11/15/2006)

District of Columbia
(4/16/2003)

Florida
(4/4/2003)

Georgia
(3/11/2004)

Hawaii
(4/9/2003)

Idaho
(8/6/2021)

IAR

Illinois
(8/11/2003)

Illinois
(3/1/2004)

Indiana
(4/9/2003)

Iowa
(8/11/2021)

Kansas
(6/28/2022)

Kentucky
(5/21/2013)

Louisiana
(6/17/2004)

Maine
(7/27/2017)

Maryland
(4/4/2003)

Massachusetts
(4/10/2003)

Michigan
(4/23/2003)

Minnesota
(9/3/2013)

Mississippi
(7/26/2017)

Missouri
(11/21/2017)

Montana
(7/13/2010)

Nebraska
(3/16/2021)

Nevada
(9/14/2006)

New Hampshire
(8/25/2017)

IAR

New Hampshire
(8/16/2024)

New Jersey
(3/1/2004)

New Mexico
(6/21/2010)

New York
(4/8/2003)

IAR

New York
(7/27/2021)

North Carolina
(5/28/2004)

North Dakota
(12/1/2025)

Ohio
(4/3/2003)

Oklahoma
(8/9/2021)

Oregon
(10/22/2004)

Pennsylvania
(4/3/2003)

Rhode Island
(12/2/2010)

South Carolina
(11/15/2004)

South Dakota
(11/25/2025)

Tennessee
(7/11/2016)

IAR

Texas
(6/10/2016)

Texas
(6/21/2016)

Utah
(7/12/2016)

Vermont
(5/12/2017)

Virginia
(3/1/2004)

Washington
(2/10/2006)

West Virginia
(9/14/2015)

Wisconsin
(7/6/2010)

IAR

Wisconsin
(9/15/2016)

Wyoming
(8/9/2021)

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

State Security Law Exam

IAR

Series 65

Date: 5/5/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue H0004-05c, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

3,658

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFAFN - WRAP FEE BROCHURE ADVISORY PROGRAMS (9/22/2025)

WFAFN - PART 2A - RETIREMENT PLAN CONSULTING (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFAFN - PART 2A - INSTITUTIONAL CONSULTING (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRAVEN, JAMES J	BOARD OF MANAGERS	4323533
GINDI, SOL	BOARD OF MANAGERS	4903526
KARANIK, ERIK ANTHONY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL	5616656
MARKMANN, DAVID FRANZ	DESIGNATED TEXAS OFFICER	2637778
PATEL, RAKESH	CHIEF FINANCIAL OFFICER	5385585
SANKOVICH, PAUL CAMERON	CHIEF COMPLIANCE OFFICER	2475029
TA, KIMBERLY CROWDER	BOARD OF MANAGERS/CONTROL PRINCIPAL	4717506
TYERS, JOHN R	PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL	2632380

Regulatory assets under management

Total Number of Accounts	401,726
AUM (Assets Under Management)	$ 197,360,196,619

Disclosures

Regulatory Event	35
Arbitration	39

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	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.

Similar Advisors

Ewa Ulanowska

SECURITIES AMERICA, INC.

Cecilio Miranda

KEY INVESTMENT SERVICES LLC

Amsterdam, NY

Adam Tabak

LPL FINANCIAL LLC

IAR

EDINBURG, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Barry P. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Patrick Sullivan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Barry Patrick Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2003

Series 63

Date: 11/14/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1980

Series 24

Date: 9/4/2003

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

Similar Advisors