ES
Edward M. Sullivan
SEACREST WEALTH MANAGEMENT
Purchase, NY 10577
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CRD#: 849142
ES
Professional summary
Edward Malachy Sullivan is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in Purchase, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Purchase, New York.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Edward has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 15, Series 3, Series 5, Series 7, Series 24, Series 12 and Series 4 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) EDWARD. SULLIVAN IS DUALLY-REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH SEACREST WEALTH MANAGEMENT, LLC - SINCE 04/2008) AND AS A REGISTERED REPRESENTATIVE WITH PURSHE KAPLAN STERLING INVESTMENTS, INC. (PKS" - SINCE 04/2008). BUSINESS IS CONDUCTED FROM 3010 WESTCHESTER AVENUE, SUITE 307, PURCHASE, NY 10577. APPROXIMATELY 90% OF MR. SULLIVAN'S TIME IS FOR SERVICES AS AN INVESTMENT ADVISOR REPRESENTATIVE. SWM AND PKS ARE NOT AFFILIATED. 2) PROVIDENCE COLLEGE; NOT INVESTMENT RELATED; ONE CUNNINGHAM SQ PROVIDENCE, RI 02918; EDUCATION; CHAIRMAN OF INVESTMENT COMMITTEE; START DATE: 01/2003; APPROX 5 HRS/MO; 2.5 DURING SECURITIES HRS; CHAIR A 10 PERSON COMMITTEE THAT OVERSEES THE SCHOOLS ENDOWMENT 3) PROVIDENCE COLLEGE ATHLETIC COMMITTEE; NOT INVESTMENT RELATED; 1 CUNNINGHAM SQUARE PROVIDENCE, RI 02918; EDUCATIONAL INSTITUTION; MEMBER; START DATE 2/2016; 3 HOURS/MONTH; 0 DURING TRADING HOURS; MEMBER OF COMMITTEE THAT ADVISES THE COLLEGE ON ATHLETIC AFFAIRS
CRS (Client Relationship Summary) - RIA
Click below to view Edward Malachy 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
October 10, 2008 - Present
SEACREST WEALTH MANAGEMENT, LLC
Office #1: 3000 Westchester Avenue Suite 206, Purchase, NY 10577RIA
CRD#: 147092
Purchase, NY
Current
April 18, 2008 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 3000 Westchester Avenue Suite 206, Purchase, NY 10577BD
CRD#: 35747
Purchase, NY
Past
January 11, 1982 - May 17, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
GREENWICH, CT
Past
July 2, 1979 - January 4, 1982
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
May 19, 1978 - August 20, 1979
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
March 1, 1978 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
BD
CRD#: 488
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".
SW
SEACREST WEALTH MANAGEMENT, LLC
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
RIA
Registered Investment Advisory firm - (5/12/2008 Approved)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
California(10/10/2013)
RR
Connecticut(4/18/2008)
IAR
Connecticut(12/23/2019)
RR
New York(4/18/2008)
IAR
New York(8/4/2021)
RR
Oregon(6/1/2009)
RR
South Dakota(10/6/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/1/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 5/15/1982
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SEACREST WEALTH MANAGEMENT, LLC
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
RIA
Registered Investment Advisory firm - (5/12/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3000 Westchester Avenue Suite 206, Purchase, NY 10577
Mailing Address
Phone number
(914) 502-1900
Established
Firm type
Fiscal year end
# of Employees
51
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
Red Flags
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