Elizabeth A. Sullivan

MURPHY & SYLVEST

Dallas, TX 75240

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CRD#: 7304165

Professional summary

Elizabeth Ashley Sullivan is a registered financial advisor currently at MURPHY & SYLVEST located in Dallas, Texas.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Elizabeth has worked at 2 firms and has passed the Series 65, Series 66, Series 7TO 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.

1) Board of Directors; For the Love of the Lake; President, not investment related, began President role Jan 2023, 30 hours per month, 0 during trading hours. 2) Plano Chamber of Commerce Women's Division, Plano TX Not investment related January 2024, 1-9 hours per month, 1-9 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Ashley 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®

None

Experience

Current

January 28, 2022 - Present

MURPHY & SYLVEST

Office #1: 13760 Noel Road Suite 300, Dallas, TX 75240

RIA

CRD#: 165130

Dallas, TX

Past

February 3, 2021 - December 23, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANO, TX

Past

January 5, 2021 - December 23, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANO, 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".

MURPHY & SYLVEST

MURPHY & SYLVEST | SYLVEST ADVISORS, LLC

CRD#: 165130 / SEC#: 801-113128

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

Louisiana

Registered Investment Advisory firm - (5/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/28/2022)

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

State Security Law Exam

IAR

Series 65

Date: 3/18/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/3/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/5/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/3/2020

Securities Industry Essentials Examination

Current Firm

MURPHY & SYLVEST

MURPHY & SYLVEST | SYLVEST ADVISORS, LLC

CRD#: 165130 / SEC#: 801-113128

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

Louisiana

Registered Investment Advisory firm - (5/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 Terminated)

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Contact information

Main Address

13760 Noel Road Suite 300, Dallas, TX 75240

Mailing Address

Phone number

(214) 373-8362

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,186
AUM (Assets Under Management)	$ 378,968,097

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
10/25/2023	Cover Page	Report
12/07/2022	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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Firm Stability Insights

Elizabeth A. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Ashley Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MURPHY & SYLVEST

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2022

Series 66

Date: 2/3/2021

Series 7TO

Date: 1/5/2021

SIE

Date: 12/3/2020

Current Firm

MURPHY & SYLVEST

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MURPHY & SYLVEST

TRUST BUT VERIFY

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