Michael SullivanCRD Number: 1013537
Current Firm: Riverbend Capital Advisors, LLC
Michael Sullivan (CRD# 1013537) is an Investment Advisor Representative working at Riverbend Capital Advisors, LLC in Chicago, IL and has over 35 years of experience in the finance industry.
Ellis Wealth Advisors, LLC
Waddell & Reed
|Riverbend Capital Advisors, LLC||Chicago, IL||Mar 2014 - Current||3|
|Self-employed||Elmhurst, IL||Dec 2010 - Mar 2014||3|
|Mg Sullivan, LLC||Elmhurst, IL||Dec 2010 - Dec 2013||3|
|Kiley Partners||Chicago, IL||May 2010 - Dec 2010||< 1|
|Mg Sullivan, LLC||Elmhurst, IL||Jun 2009 - May 2010||< 1|
|Retired||Elmhurst, IL||Jul 2008 - Jun 2009||< 1|
|Stifel Nicolaus||Chicago, IL||May 2007 - Jul 2008||1|
|Job Search||Elmhurst, IL||Jan 2007 - May 2007||< 1|
|Royal Bank Canada||Chicago, IL||Dec 2003 - Dec 2006||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1982|
|S65||NASAA Investment Advisors Law Examination||Jul 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management233MILLIONS
Total Number of Accounts152ACCOUNTS
Average Account Value$1,531,068
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
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