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William Sullivan
32 Years of Experience
Bedminster, NJ
6 DisclosuresBroker
William Sullivan is a registered investment advisor at Raymond James & Associates, INC., based in Bedminster, NJ, with 32 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
350 Main Street, Suites 4 & 5, Bedminster, NJ, 07921
Get directionsHistory
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 2009Settled
Customer Dispute
May 2009Settled
Customer Dispute
December 2008Settled
Customer Dispute
March 2008Settled
Customer Dispute
August 2005Denied
Customer Dispute
April 2003Denied
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
Raymond James & Associates, INC.
July 2022 - Present · 4 yrs
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.