Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Douglas Sullivan is a financial advisor with over 30 years of experience in the industry. Robert is currently registered with Stifel, Nicolaus & Company, Inc. and has previously been registered with Wells Fargo Clearing Services, LLC, Prudential Securities Incorporated, Janney Montgomery Scott LLC, PaineWebber Incorporated and Dougherty, Dawkins, Strand & Yost Incorporated. Robert holds the Series 7, Series 52, and Series 63 licenses. Robert's primary areas of expertise are Retirement Planning, College Savings, Estate Planning, and Asset Allocation. Robert is dedicated to helping clients achieve their financial goals.
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.
1
2
MA
03/04/2022 - Present
Stifel, Nicolaus & Company, Inc. (EAST HARWICH MA)
MA
07/01/2003 - 03/08/2022
WELLS FARGO CLEARING SERVICES, LLC (HYANNIS MA)
NY
06/09/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
PA
05/19/1994 - 06/30/2000
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NJ
08/18/1987 - 05/17/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
01/21/1985 - 11/04/1987
DOUGHERTY, DAWKINS, STRAND & YOST INCORPORATED
BC
Issued 01/24/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
BC
Issued 01/18/1985
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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