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AS

Andrew T. Sullivan

STONEFIELD CAPITAL LTD.
MALVERN, PA
Some features on this profile are disabled
CRD#: 7846697
AS

Professional summary

Andrew Thomas Sullivan, who also goes by Andrew Sullivan, is a registered financial advisor currently at STONEFIELD CAPITAL LTD. located in Malvern, Pennsylvania.

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

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Thomas Sullivan's 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 31, 2025 - Present

STONEFIELD CAPITAL LTD.

RIA
CRD#: 333786
MALVERN, PA
Past

May 31, 2024 - August 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Exton, PA
Past

February 7, 2024 - August 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Exton, PA

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
Pennsylvania
(3/31/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/28/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/7/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/27/2023
Securities Industry Essentials Examination

Current Firm

SC
STONEFIELD CAPITAL LTD.
STONEFIELD CAPITAL LTD.

CRD#: 333786 / SEC#:

Pennsylvania
Registered Investment Advisory firm - (3/31/2025 Approved)
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Contact information

Main Address
Malvern, PA
Mailing Address
Phone number
(610) 235-6073
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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

STONEFIELD CAPITAL LTD.

CRD#: 333786Malvern, PA

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