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Scott Sullivan

Raymond James & Associates, INC.
41 Years of Experience
Boca Raton, FL
1 DisclosureBroker
View SEC Summary
View SEC Summary

Scott Sullivan is a registered investment advisor at Raymond James & Associates, INC., based in Boca Raton, FL, with 41 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1 Town Center Road, 10th Floor, Boca Raton, FL, 33486

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2007
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Scott is a trustee of his joint family trust with his wife, dedicating minimal time. He also serves as a trustee for his father's IRR Trust, which takes about 10-20% of his time.

Employment History
Current Registrations
Raymond James & Associates, INC.
April 2018 - Present · 8 yrs 6 mos
Raymond James & Associates, INC.Broker
April 2018 - Present · 8 yrs 6 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2008 - April 2018 · 10 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2008 - April 2018 · 10 yrs 2 mos
Citigroup Global Markets INC.
April 1991 - February 2008 · 16 yrs 10 mos
Citigroup Global Markets INC.Broker
June 1985 - February 2008 · 22 yrs 8 mos
Donald Sheldon & CO., INC.Broker
May 1985 - June 1985 · 1 mo
First Equity Corporation of FloridaBroker
November 1984 - March 1985 · 4 mos
State Registrations17 states
AZCACTDCFLGAKYMAMDMONCNHNMNYOHORUT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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