Michael SullivanCRD Number: 3080324
Current Firm: Securities America Advisors, Inc.
Michael Sullivan (CRD# 3080324) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Dublin, OH and has over 16 years of experience in the finance industry.
Rebel Financial, LLC
Ameriprise Financial Services, Inc.
Pds Planning Inc.
|Securities America Advisors, Inc.||Dublin, OH||Sep 2002 - Current||15|
|Securities America, Inc.||Dublin, OH||Aug 2002 - Current||15|
|Wealth Coach Financial Services, Inc.||Dublin, OH||Aug 2002 - Current||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 2002|
|S65||NASAA Investment Advisors Law Examination||Jan 2002|
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 Management15,610MILLIONS
Total Number of Accounts105,891ACCOUNTS
Average Account Value$147,418
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY