Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Thomas Sullivan is a financial advisor with over 28 years of experience in the financial services industry. William is registered with LPL Financial LLC and holds Series 6, 7, and 63 licenses as well as the SIE. William is also a Certified Financial Planner™. William has been with LPL Financial LLC since 2018. Before joining LPL Financial LLC, William was with First Allied Securities, Inc. and National Planning Corporation. William provides financial planning and portfolio management services to individuals and businesses. William is committed to providing his clients with personalized advice and helping them 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.
Consulting and other non-discretionary advisory services
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.
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2
NY
07/27/2018 - Present
LPL Financial LLC (GOSHEN NY)
NY
12/01/2014 - 07/30/2018
FIRST ALLIED SECURITIES, INC. (GOSHEN NY)
NY
02/22/2000 - 12/02/2014
NATIONAL PLANNING CORPORATION (GOSHEN NY)
AZ
01/22/1998 - 03/02/2000
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NY
12/07/1992 - 02/12/1998
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 12/01/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/01/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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