Thomas Sullivan, financial advisor Hackettstown NJ
58 score

Thomas Sullivan

CRD Number: 1412966
Current Firm: Raymond James Financial Services Advisors, Inc.

Thomas Sullivan (CRD# 1412966) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Hackettstown, NJ and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Specific Solutions Hackettstown, NJ Feb 2016 - Current < 1
Raymond James Financial Services,inc York, PA Aug 2013 - Current 3
Raymond James Financial Services Advisors Inc. Hackettstown, NJ Aug 2013 - Current 3
Fulton Financial Corporation Hackettstown, NJ Aug 2013 - Current 3
Pnc Investments Flemington, NJ May 2005 - Aug 2013 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1986
S65 NASAA Investment Advisors Law Examination Jun 2004
S66 NASAA Uniform Combined State Law Examination Dec 2000
Disclosure Information

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:
  • Employer Dispute
  • Customer Dispute
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Thomas A. Sullivan
Phone Number: 727-567-5877
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
58

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