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William Sullivan

Raymond James & Associates, INC.
32 Years of Experience
Bedminster, NJ
6 DisclosuresBroker
View SEC Summary
View SEC Summary

William Sullivan is a registered investment advisor at Raymond James & Associates, INC., based in Bedminster, NJ, with 32 years of industry experience. William 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
5790 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

350 Main Street, Suites 4 & 5, Bedminster, NJ, 07921

Get directions

History

Regulatory History (6)
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
June 2009
Settled
Customer Dispute
May 2009
Settled
Customer Dispute
December 2008
Settled
Customer Dispute
March 2008
Settled
Customer Dispute
August 2005
Denied
Customer Dispute
April 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William holds a political office in Essex Fells Borough since 2021. He dedicates a few hours per week to this activity, none of which occur during trading hours.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
July 2022 - Present · 4 yrs 3 mos
Raymond James & Associates, INC.
July 2022 - Present · 4 yrs 3 mos
Previous Registrations
UBS Financial Services INC.Broker
December 2008 - July 2022 · 13 yrs 7 mos
UBS Financial Services INC.
December 2008 - July 2022 · 13 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2003 - December 2008 · 5 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2003 - December 2008 · 5 yrs 8 mos
RBC Dain Rauscher INC.
May 2002 - May 2003 · 1 yr
RBC Dain Rauscher INC.Broker
March 2002 - May 2003 · 1 yr 2 mos
Tucker Anthony IncorporatedBroker
September 1999 - March 2002 · 2 yrs 6 mos
Gibraltar Securities CO.Broker
July 1995 - September 1999 · 4 yrs 2 mos
Pruco Securities CorporationBroker
October 1993 - July 1995 · 1 yr 9 mos
State Registrations11 states
AZCACOFLMENCNJNYSCTXWV
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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