PS
Peter A. Sullivan
ARLEN CAPITAL
WARWICK, RI 02886
Some features on this profile are disabled
CRD#: 828191
PS
Professional summary
Peter Anthony Sullivan is a registered financial advisor currently at ARLEN CAPITAL, LLC located in Warwick, Rhode Island and OSAIC WEALTH, INC. located in Warwick, Rhode Island.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Peter has worked at 5 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
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.
1 CO-TRUSTEE POSITION: Co-Trustee NATURE: Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 111 S. Angell Street, Providence, RI 02906; United States DESCRIPTION: I have been asked by Mary I. Sullivan (my aunt) to act as co-trustee. Mary I. Sullivan has no siblings and no children. I am her closest family member. 2. ARLEN CAPITAL, LLC POSITION: Owner NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/02/2001 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: President, and a personal advisor visiting with clients and performing all duties of an investment advisor. 3. ARLEN CORPORATION POSITION: Owner - NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/27/1988 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Non-variable life insurance sales and servicing. 4. ARLEN REALTY POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/2008 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: The sole purpose of Arlen Realty is to own our office condo that Arlen Corporation resides. It does not have any other objectives. 5. POWER OF ATTORNEY POSITION: POA - Power of Attorney NATURE: Previously disclosed being Co-Trustee for my elder Aunt and now I have to pay her bills as she is in Skilled Nursing Facility and sold her home 10/12/2023. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2023 ADDRESS: 117 Metro Center Blvd, Suite 2006, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Need to do online banking, bill paying for my elder Aunt. She is the last one of her generation in our family and I am the Co-Trustee with her on her Trust (previously disclosed) and now have to pay her bills. 6. CO-TRUSTEE POSITION: Co-Trustee NATURE: Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 185 Pinecrest Drive, Pawtucket RI 02861, United States DESCRIPTION: I have been asked by Mary I. Sullivan (my aunt) to act as co-trustee. Mary I. Sullivan has no siblings and no children. I am her closest family member. I received approval from Michael Fleming. Compliance has comfirmed it is acceptable as well as did Scott Hernberg. I will be receiving no compensation for this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Anthony 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®
NoneExperience
Current
June 1, 2001 - Present
ARLEN CAPITAL, LLC
Office #1: 117 Metro Center Boulevard Suite 2006, Warwick, RI 02886RIA
CRD#: 118113
WARWICK, RI
Current
April 6, 2001 - Present
OSAIC WEALTH, INC.
Office #1: 117 Metro Center Blvd Suite 2006, Warwick, RI 02886RIA
BD
CRD#: 23131
Warwick, RI
Past
March 1, 1996 - April 12, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 30, 1990 - December 31, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
October 1, 1976 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
AC
ARLEN CAPITAL, LLC
ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS
CRD#: 118113 / SEC#: 801-63038
RIA
Registered Investment Advisory firm - (4/14/2004 Approved)Rhode Island
Registered Investment Advisory firm - (4/21/2004 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(3/23/2011)
RR
Arizona(1/22/2004)
RR
Arkansas(5/4/2015)
RR
California(4/6/2001)
RR
Colorado(7/18/2024)
RR
Connecticut(4/6/2001)
RR
Delaware(9/9/2020)
RR
Florida(4/6/2001)
RR
Georgia(2/22/2007)
RR
Illinois(7/11/2011)
RR
Indiana(5/10/2018)
RR
Kansas(8/15/2007)
RR
Kentucky(3/31/2025)
RR
Louisiana(4/27/2005)
IAR
Louisiana(5/15/2012)
RR
Maine(10/19/2005)
RR
Maryland(11/16/2001)
RR
Massachusetts(4/6/2001)
RR
Michigan(5/4/2007)
RR
Minnesota(3/12/2014)
RR
Nevada(2/21/2007)
RR
New Hampshire(9/13/2004)
RR
New Jersey(4/6/2001)
RR
New York(4/6/2001)
RR
North Carolina(2/22/2007)
RR
Ohio(8/4/2010)
RR
Oregon(5/18/2012)
RR
Pennsylvania(11/18/2016)
RR
Rhode Island(4/6/2001)
IAR
Rhode Island(6/1/2001)
RR
South Carolina(4/6/2001)
RR
Texas(3/29/2005)
IAR
Texas(1/5/2015)
RR
Vermont(6/24/2009)
RR
Virginia(4/6/2001)
RR
Washington(9/15/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/25/1976
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ARLEN CAPITAL, LLC
ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS
CRD#: 118113 / SEC#: 801-63038
RIA
Registered Investment Advisory firm - (4/14/2004 Approved)Rhode Island
Registered Investment Advisory firm - (4/21/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
117 Metro Center Boulevard Suite 2006, Warwick, RI 02886
Mailing Address
Phone number
(401) 854-3500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 691 |
| AUM (Assets Under Management) | $ 331,251,085 |
Red Flags
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Company Information
ARLEN CAPITAL, LLC
CRD#: 118113Warwick, RI 02886TRUST BUT VERIFY
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