Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brent? Claim Your ProfileBrent Patrick Sullivan is a financial advisor at Robert W. Baird & Co. Inc., with over 20 years of experience in the industry. Brent has a wide range of experience in the financial services industry, having worked at several firms including RBC Capital Markets, LLC, and U.S. Bancorp Piper Jaffray Inc. Brent is a Series 7, 55, 57, and 63 licensed professional. Brent is registered in 23 states including California, Colorado, Connecticut, Florida, Georgia, Illinois, Iowa, Kansas, Maryland, Massachusetts, Michigan, Minnesota, New Jersey, New Mexico, New York, Ohio, Oregon, Pennsylvania, Rhode Island, Texas, Virginia, Washington, and Wisconsin. Brent specializes in providing financial advice to individuals, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
WI
01/05/2011 - Present
Robert W. Baird & Co. Inc. (MILWAUKEE WI)
NY
02/29/2008 - 11/19/2010
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
02/06/2004 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
04/23/2003 - 02/06/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
12/11/2000 - 04/08/2003
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
MN
08/31/1999 - 12/06/2000
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
BC
Issued 11/11/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/30/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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