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AS

Ana C. Sullivan

FORT WORTH, TX 76177
Some features on this profile are disabled
CRD#: 7794450
AS

Professional summary

Ana Caroline Sullivan was a registered financial advisor .

Ana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Ana had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

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.
The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

September 10, 2025 - Present

Office #1: 9800 Hillwood Parkway Suite #180, Fort Worth, TX 76177
FORT WORTH, TX
Past

October 29, 2024 - September 11, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Fort Worth, TX
Past

September 20, 2024 - September 11, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Fort Worth, TX

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
(9/10/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/25/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/12/2024
Securities Industry Essentials Examination

Current firm

No current employment

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

No current employment

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