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Daniel Austin Sullivan

Raymond James Financial Services, Inc.

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About Daniel Austin Sullivan

Daniel Sullivan is a financial advisor at Raymond James Financial Services, Inc., where Sullivan has been registered since September 2, 2022. Sullivan holds the Series 7TO, Series 63, and SIE licenses. Sullivan is licensed in 53 states and the District of Columbia.

Firm Information

Daniel Sullivan is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

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.

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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Daniel Sullivan’s Registration & Firm History

FL

09/02/2022 - Present

Raymond James Financial Services, Inc. (ST PETERSBURG FL)

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Licenses & Designations

BC

Issued 11/17/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/02/2022

Series 7TO - General Securities Representative Examination

BC

Issued 03/25/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Daniel Austin Sullivan. Review regulatory record here.
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