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Arthur Francis Sullivan

Advisors Asset Management, Inc.

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About Arthur Francis Sullivan

Arthur Francis Sullivan is an investment advisor representative at Advisors Asset Management, Inc. Sullivan has been in the securities industry since December 1985. Sullivan is registered with the state of Texas. Sullivan has a series 65 license and a series 63 license as well as a series 8 license and has passed the Series 3, Series 7 and SIE exams. Sullivan has held previous positions at Lincoln Financial Distributors, Inc., Citigroup Global Markets Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and The Stuart-James Company, Inc.

Firm Information

Arthur Sullivan is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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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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.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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percentage of assets

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

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Arthur Sullivan’s Registration & Firm History

TX

11/13/2014 - Present

Advisors Asset Management, Inc. (BOERNE TX)

PA

09/16/2008 - 10/07/2013

LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)

OK

07/31/1993 - 08/14/2008

CITIGROUP GLOBAL MARKETS INC. (OKLAHOMA CITY OK)

NY

07/02/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

04/04/1986 - 07/06/1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

07/24/1985 - 02/26/1986

THE STUART-JAMES COMPANY, INC.

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Licenses & Designations

IA

Issued 11/12/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/05/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/03/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/11/1996

Series 3 - National Commodity Futures Examination

BC

Issued 07/20/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Arthur Francis Sullivan.
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