Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Daniel Sullivan is a financial advisor with over 30 years of experience in the industry. James is currently registered with Cambridge Investment Research Advisors, Inc. in Florida and Iowa. James has held previous positions at various firms including Continuity Partners Group, LLC, AIG Financial Advisors, Inc., SunAmerica Securities, Inc., New England Securities, Anchor National Financial Services, Inc., IDS Life Insurance Company, IDS Marketing Corporation, and Investors Diversified Services, Inc. James is a Certified Financial Planner.
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.
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.
Solicitation fees from 3rd party money managers
1
2
IA
11/14/2019 - Present
Cambridge Investment Research Advisors, Inc. (Fairfield IA)
IA
09/01/2010 - 08/07/2017
CONTINUITY PARTNERS GROUP, LLC (FAIRFIELD IA)
MN
10/31/2005 - 07/14/2006
AIG FINANCIAL ADVISORS, INC. (MINNETONKA MN)
AZ
05/19/1992 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NY
06/29/1987 - 10/18/1996
NEW ENGLAND SECURITIES (NEW YORK NY)
NA
03/11/1981 - 05/19/1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
04/03/1973 - 04/04/1981
IDS LIFE INSURANCE COMPANY
NA
04/03/1973 - 04/04/1981
IDS MARKETING CORPORATION
NA
04/03/1973 - 04/04/1981
INVESTORS DIVERSIFIED SERVICES, INC.
IA
Issued 09/25/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/28/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/25/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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