Monica L. Sullivan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Monica Lynn Sullivan, who also goes by Monica Lynn Vollbrecht, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2022. Monica had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2023 - November 1, 2024
MARINER WEALTH
October 11, 2022 - August 30, 2023
AVANTAX PLANNING PARTNERS, INC.
August 15, 2022 - October 12, 2022
AVANTAX ADVISORY SERVICES
Primary Firm SEC Registration
MARINER WEALTH
CRD#: 289886 / SEC#: 801-111823
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
MARINER WEALTH
CRD#: 289886 / SEC#: 801-111823
Contact information
SEC notice filing (21 States and Territories)
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.
