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CC

Catherine Cusson

SULLIVAN FINANCIAL
Essex, CT 06426
Some features on this profile are disabled
CRD#: 7775117
CC

Professional summary

Catherine Cusson, who also goes by Catherine Joan Barros, Catie Joan Barros, Catherine J Barros, is a registered financial advisor currently at SULLIVAN FINANCIAL, LLC located in Essex, Connecticut.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Catherine has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Catherine Joan Barros | Catie Joan Barros | Catherine J Barros

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Cusson'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

March 12, 2026 - Present

SULLIVAN FINANCIAL, LLC

Office #1: 15a Main Street, Essex, CT 06426
RIA
CRD#: 121371
Essex, CT
Past

May 26, 2025 - January 6, 2026

MORGAN STANLEY

RIA
CRD#: 149777
MADISON, CT
Past

May 14, 2025 - January 6, 2026

MORGAN STANLEY

BD
CRD#: 149777
MADISON, CT
Past

September 12, 2023 - April 24, 2025

WELLINGTON FUNDS DISTRIBUTORS INC.

BD
CRD#: 152768
BOSTON, MA

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".
SF
SULLIVAN FINANCIAL, LLC
SULLIVAN FINANCIAL ADVISORS | SULLIVAN FINANCIAL, LLC

CRD#: 121371 / SEC#: 801-130753

RIA
Registered Investment Advisory firm - (7/25/2024 Approved)
Connecticut
Registered Investment Advisory firm - (9/18/2024 Terminated)
Florida
Registered Investment Advisory firm - (1/30/2026 Terminated)
Massachusetts
Registered Investment Advisory firm - (1/30/2026 Terminated)
New Hampshire
Registered Investment Advisory firm - (2/4/2026 Terminated)
Pennsylvania
Registered Investment Advisory firm - (2/2/2026 Terminated)
Texas
Registered Investment Advisory firm - (1/30/2026 Terminated)

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
(3/12/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/24/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/12/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/4/2023
Securities Industry Essentials Examination

Current Firm

SF
SULLIVAN FINANCIAL, LLC
SULLIVAN FINANCIAL ADVISORS | SULLIVAN FINANCIAL, LLC

CRD#: 121371 / SEC#: 801-130753

RIA
Registered Investment Advisory firm - (7/25/2024 Approved)
Connecticut
Registered Investment Advisory firm - (9/18/2024 Terminated)
Florida
Registered Investment Advisory firm - (1/30/2026 Terminated)
Massachusetts
Registered Investment Advisory firm - (1/30/2026 Terminated)
New Hampshire
Registered Investment Advisory firm - (2/4/2026 Terminated)
Pennsylvania
Registered Investment Advisory firm - (2/2/2026 Terminated)
Texas
Registered Investment Advisory firm - (1/30/2026 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
15a Main Street, Essex, CT 06426
Mailing Address
P.o. Box 557, Essex, CT 06426
Phone number
(860) 657-4150
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A: FIRM BROCHURE (7/3/2025)

Regulatory assets under management

Total Number of Accounts300
AUM (Assets Under Management)$ 110,935,667

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.

Company Information

SULLIVAN FINANCIAL, LLC

CRD#: 121371Essex, CT 06426

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