Charles J. Sullivan

SULLIVAN INVESTMENTS GROUP

Delray Beach, FL

Some features on this profile are disabled

CRD#: 7492551

Professional summary

Charles Joseph Sullivan, who also goes by Charlie Joseph Sullivan, is a registered financial advisor currently at SULLIVAN INVESTMENTS GROUP, LLC located in Delray Beach, Florida and FARTHER located in Delray Beach, Florida.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Charles has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Joseph Sullivan

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.

Name of other business: V1kaLLC; Is business Investment related: No; Address of other business: 5500 34th St W Bradenton, FL 34210; Nature of other business: Business and Property Management; Your position: Team Manager; Start date of relationship: 2021; Approx. # of hours /month devote to other business: 10; Number of hours devoted to other business during securities trading hours: 0; Briefly describe duties: Manage Team and Property for Professional Athlete.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Joseph 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 19, 2022 - Present

SULLIVAN INVESTMENTS GROUP, LLC

RIA

CRD#: 148708

Delray Beach, FL

Current

June 4, 2025 - Present

FARTHER

RIA

CRD#: 302050

Delray Beach, 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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 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

Connecticut
(1/19/2022)

IAR

Florida
(1/25/2022)

IAR

Georgia
(2/24/2022)

IAR

Massachusetts
(3/24/2022)

IAR

Virginia
(7/2/2024)

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: 5/1/2021

Uniform Investment Adviser Law Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles J. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Joseph Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SULLIVAN INVESTMENTS GROUP, LLC

FARTHER

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2021

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

Similar Advisors