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Karen Sullivan

Fidelity Brokerage Services LLC

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About Karen Sullivan

Karen Sullivan is a financial professional with over 20 years of experience in the financial services industry. Karen has a broad range of experience, having worked for firms such as National Financial Services LLC, Columbia Funds Distributor, Inc., and Fidelity Brokerage Services, Inc.. Karen is currently registered with Fidelity Brokerage Services LLC and National Financial Services LLC. Karen holds Series 7, 8, 63, 99TO and SIE licenses.

Firm Information

Karen Sullivan is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

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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Karen Sullivan’s Registration & Firm History

MA

08/25/2020 - Present

Fidelity Brokerage Services LLC (BOSTON MA)

MA

01/25/2006 - 08/27/2009

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

MA

01/31/2000 - 06/21/2004

COLUMBIA FUNDS DISTRIBUTOR, INC. (BOSTON MA)

MA

05/26/1998 - 01/31/2000

NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)

RI

12/10/1993 - 05/26/1998

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

CA

11/09/1992 - 09/25/1993

STOCKCROSS, INC. (BEVERLY HILLS CA)

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Licenses & Designations

BC

Issued 01/31/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/12/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Karen Sullivan.
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