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AS

Ana C. Sullivan

CRD#: 7794450
Some features on this profile are disabled
AS
Ana Caroline 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.

Ana Caroline Sullivan was a registered financial professional .

Ana is a previously registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

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

Past

September 10, 2025 - May 20, 2026

ASPENRIDGE WEALTH ADVISORS

RIA
CRD#: 337220
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

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
ASPENRIDGE WEALTH ADVISORS
ARWA LLC | ASPENRIDGE WEALTH ADVISORS

CRD#: 337220 / SEC#: 801-134217

RIA
Registered Investment Advisory firm - (9/3/2025 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

AW
ASPENRIDGE WEALTH ADVISORS
ARWA LLC | ASPENRIDGE WEALTH ADVISORS

CRD#: 337220 / SEC#: 801-134217

RIA
Registered Investment Advisory firm - (9/3/2025 Approved)
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Contact information

Main Address
9800 Hillwood Parkway Suite #180, Fort Worth, TX 76177
Mailing Address
Phone number
(682) 231-8331
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ARWA LLC DISCLOSURE BROCHURE (12/24/2025)

Regulatory assets under management

Total Number of Accounts1,310
AUM (Assets Under Management)$ 326,000,000

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

ASPENRIDGE WEALTH ADVISORS

CRD#: 337220

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