Bruce Allen Sullivan
Professional Summary
Bruce Allen Sullivan, who also goes by Bruce A Sullivan, was a registered financial advisor. Bruce was a previously registered financial advisor and started their career in finance 1981 - 2010. Bruce had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bruce A Sullivan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
BENEFICIAL INVESTMENT SERVICES, INC. | SALT LAKE BSI, INC. | INSPHERE SECURITIES, INC.
Contact Information
Established
Utah since 03/12/2004Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPHERE INSURANCE SOLUTIONS, INC. | SHAREHOLDER | — |
| FUNKE, CHARLES FREDERICK II | DIRECTOR/PRESIDENT/CEO | 2574335 |
| MASON, JAMES CHRISTOPHER | DIRECTOR/ CHAIRMAN | 3008152 |
| MAUGHAN, MICHAEL PHILIP | FINOP/DIRECTOR/ VICE PRESIDENT | 4771751 |
| SERNETT, GREGORY CHARLES | CHIEF COMPLIANCE OFFICER/DIRECTOR | 2580939 |
| WEINLE, SHARON KAY | CHIEF OPERATIONS OFFICER/ DIRECTOR | 1207462 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1981About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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