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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Sullivan is a financial advisor at RBC Capital Markets, LLC. Brian has been in the financial services industry since December 1994. Brian has passed the Series 63, Series 65 and Series 7 exams and the SIE exam. Brian has a strong background in financial planning, portfolio management, and pension consulting. Brian is licensed to sell securities in multiple states, including Ohio and Texas. Brian is passionate about helping clients achieve their financial goals. Prior to joining RBC Capital Markets, LLC, Brian was an advisor at UBS Financial Services Inc and Citigroup Global Markets Inc. Brian is committed to providing clients with personalized service and a comprehensive understanding of their financial needs.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
OH
11/18/2020 - Present
RBC Capital Markets, LLC (Westlake OH)
OH
08/10/2006 - 11/27/2020
UBS FINANCIAL SERVICES INC. (WESTLAKE OH)
OH
12/09/1994 - 08/16/2006
CITIGROUP GLOBAL MARKETS INC. (CLEVELAND OH)
IA
Issued 09/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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