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Thomas John Sullivan

Investment Distributors, Inc.

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About Thomas John Sullivan

Thomas Sullivan is a financial professional with over 20 years of experience in the industry. Thomas currently works as a registered representative with Investment Distributors, Inc. in Covington, KY. Thomas has a diverse background with experience at a variety of firms, including Concourse Financial Group Securities, Inc., Jackson National Life Distributors, Inc., and National Planning Corporation. Thomas holds licenses for both securities and investment advisory services. He is registered in 25 states and holds the Series 6, 7, 24, and 63 licenses as well as the SIE Exam.

Firm Information

Thomas Sullivan is currently registered with Investment Distributors, Inc.. Investment Distributors, Inc. is a corporation that was formed on August 30, 1993. It is registered with the SEC and in all 50 states, as well as the District of Columbia. The firm has reported one regulatory event.

Not reported

Assets Under Management

Not reported

Total Clients

166

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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Thomas Sullivan’s Registration & Firm History

KY

01/03/2022 - Present

Investment Distributors, Inc. (Covington KY)

MN

10/04/2004 - 01/03/2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC. (EDINA MN)

TN

03/01/2002 - 04/08/2004

JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (FRANKLIN TN)

CA

05/29/2001 - 12/31/2003

NATIONAL PLANNING CORPORATION (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 10/03/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/20/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/17/2001

Series 7 - General Securities Representative Examination

BC

Issued 05/25/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas John Sullivan.
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