Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick J Sullivan is a registered representative with Principal Securities, Inc. Patrick is licensed to provide investment advice in Illinois, Indiana, and North Dakota. Patrick has been in the financial services industry since 1996. Patrick's experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Principal Life Insurance Company provides Patrick with a solid foundation for providing investment advice. Patrick's qualifications and experience include a Series 7, Series 63, Series 65, and Series 66. In addition to securities, Patrick is also licensed to provide insurance products through Principal Life Insurance Company.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IL
01/30/2018 - Present
Principal Securities, Inc. (LA SALLE IL)
NY
03/11/1996 - 05/30/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/29/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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