Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Sullivan is a financial advisor with over 25 years of experience in the industry. Michael is currently registered with Dempsey Lord Smith, LLC and has been with the firm since February 2018. Michael previously worked with First Allied Securities, Inc. in Mooresville, North Carolina. Michael offers financial planning, pension consulting, and portfolio management services to individuals and businesses.
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.
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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2
GA
08/07/2023 - Present
Dempsey Lord Smith, LLC (ROME GA)
NC
05/30/2008 - 12/31/2017
FIRST ALLIED SECURITIES, INC. (MOORESVILLE NC)
NC
10/14/1998 - 05/30/2008
FFP SECURITIES, INC. (MOORESVILLE NC)
VA
04/06/1998 - 10/13/1998
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
MN
03/15/1996 - 04/01/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/15/1996 - 04/01/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 03/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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