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Amy Lynn Sullivan

CAP Strat

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About Amy Lynn Sullivan

Amy Lynn Sullivan is an investment advisor representative with CAP Strat. Amy has been in the financial services industry since 1997. Amy has a Series 63, Series 65, and Series 24 license. Prior to joining CAP Strat, Amy worked for Guggenheim Funds Distributors, LLC, Guggenheim Distributors, LLC, and Nuveen Investments. Amy has extensive experience in providing financial planning, portfolio management, and pension consulting. Amy also has experience in selecting other advisors for clients. Amy is a registered investment advisor in Illinois.

Firm Information

Amy Sullivan is currently registered with CAP Strat. CAP Strat is an investment advisor headquartered in Oakbrook Terrace, Illinois. They specialize in providing financial planning, pension consulting, and portfolio management services to individuals, corporations, pension and profit-sharing plans, charitable organizations, and banking or thrift institutions. They manage approximately $21.3 billion in assets for a client base of over 1,000 accounts.
CAP Strat

ONE PARKVIEW PLAZA

OAKBROOK TERRACE, IL 60181

$21.29B

Assets Under Management

Not reported

Total Clients

6

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Amy Sullivan’s Registration & Firm History

IL

05/09/2019 - Present

CAP Strat (OAKBROOK TERRACE IL)

IL

01/25/2002 - 06/08/2017

GUGGENHEIM FUNDS DISTRIBUTORS, LLC (chicago IL)

IL

10/02/2012 - 03/03/2014

GUGGENHEIM DISTRIBUTORS, LLC (LISLE IL)

IL

02/12/1997 - 11/21/2001

NUVEEN INVESTMENTS (CHICAGO IL)

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Licenses & Designations

IA

Issued 05/15/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/03/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/05/2007

Series 24 - General Securities Principal Examination

BC

Issued 06/08/2017

SIE - Securities Industry Essentials Examination

BC

Issued 02/11/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Amy Lynn Sullivan.
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