Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger William Sullivan is a financial advisor with Raymond James & Associates, Inc. Roger has over 20 years of experience in the financial services industry, working previously at WELLS FARGO CLEARING SERVICES, LLC, and A. G. EDWARDS & SONS, INC. Roger holds Series 7, Series 63 and SIE licenses. He is registered to provide investment advice in Alabama, Arizona, Arkansas, California, Florida, Georgia, Hawaii, Idaho, Iowa, Kansas, Kentucky, Louisiana, Maine, Massachusetts, Mississippi, New Mexico, North Carolina, Ohio, Oklahoma, Tennessee, Texas, Utah, Virginia, and Washington. Roger also manages the assets of two non-profit foundations.
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.
Please see note in schedule d - miscellaneous
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
LA
08/07/2017 - Present
Raymond James & Associates, Inc. (BATON ROUGE LA)
LA
01/01/2008 - 07/24/2017
WELLS FARGO CLEARING SERVICES, LLC (BATON ROUGE LA)
LA
02/17/2000 - 01/03/2008
A. G. EDWARDS & SONS, INC. (BATON ROUGE LA)
BC
Issued 03/06/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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