Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Sullivan is a financial advisor with Essex Financial Services, Inc., located in Essex, CT. James has been in the financial services industry since 1999 and has a wide range of experience serving individuals, families, and businesses. James specializes in financial planning, portfolio management, and pension consulting. James is registered to provide investment advisory services in Connecticut, Florida, Massachusetts, New Hampshire, New York, Rhode Island, and Vermont.
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.
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.
A percentage of the total value of assets under management is charged.
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CT
04/20/2009 - Present
Essex Financial Services, Inc. (ESSEX CT)
CT
04/20/2009 - 06/01/2021
ESSEX FINANCIAL SERVICES, INC. (ESSEX CT)
CT
04/30/2001 - 02/19/2009
FIDELITY BROKERAGE SERVICES LLC (WEST HARTFORD CT)
MA
10/01/1999 - 08/15/2000
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
BOTH
Issued 01/21/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/06/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/19/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2001
Series 7 - General Securities Representative Examination
BC
Issued 09/27/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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