DS
Daniel J. Sullivan
AE WEALTH MANAGEMENT
Tulsa, OK 74119
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CRD#: 7480590
DS
Professional summary
Daniel James Sullivan is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Tulsa, Oklahoma.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Daniel has worked at 1 firm .
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.) SULLIVAN FINANCIAL SOLUTIONS; YES INVESTMENT RELATED; 1508 SOUTH CARSON AVENUE, TULSA, OK 74119; INSURANCE SALES; OWNER; START DATE 04/2020; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) ESTATE PLANNING DOCUMENTS SERVICES; NOT INVESTMENT RELATED; 1508 SOUTH CARSON AVENUE, TULSA, OK 74119; ESTATE PLANNING; FACILITATOR; 10/28/2025; APPROX. 4HRS/MO; APPROX. 4HRS/MO DURING SECURITIES TRADING HOURS; INTRODUCE, COORDINATE, ANDPROVIDE ACCESS TO PLATFORM FOR CLIENTS TO PREPARE ESTATE PLANNING DOCUMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James 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
December 17, 2021 - Present
AE WEALTH MANAGEMENT, LLC
Office #1: 1508 S Carson Ave, Tulsa, OK 74119RIA
CRD#: 282580
Tulsa, OK
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".
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 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
Oklahoma(12/17/2021)
IAR
Texas(10/21/2024)
Exams
Current Firm
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Mailing Address
Phone number
(866) 363-9595
Established
Firm type
Fiscal year end
# of Employees
602
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
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Company Information
AE WEALTH MANAGEMENT, LLC
CRD#: 282580Tulsa, OK 74119TRUST BUT VERIFY
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