Timothy Sullivan, financial advisor San Ramon CA
26 score

Timothy Sullivan

CRD Number: 2969989
Current Firm: International Assets Investment Management, LLC

Timothy Sullivan (CRD# 2969989) is an Investment Advisor Representative working at International Assets Investment Management, LLC in San Ramon, CA and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
International Assets Investment Management, LLC San Ramon, CA Jan 2018 - Current < 1
Sii Investments, Inc. San Ramon, CA Sep 2008 - Dec 2017 9
The Retirement Group San Diego, CA Aug 2006 - Mar 2009 2
Securities Service Network, Inc. San Diego, CA Jul 2006 - Aug 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1997
S65 NASAA Investment Advisors Law Examination Jul 2007
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
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Timothy C. Sullivan
Phone Number: 407-254-1516
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    396
    MILLIONS
  • Total Number of Accounts
    2,393
    ACCOUNTS
  • Average Account Value
    $165,642
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
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)
Types of Clients
Registered States

AK, AL, AZ, CA, CT, DC, DE, FL, GA, IA, ID, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, ND, NJ, NM, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
26

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