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Arthur Sullivan

Advisors Asset Management, INC.
40 Years of Experience
Fair Oaks Ranch, TX
Broker
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Arthur Sullivan is a registered investment advisor at Advisors Asset Management, INC., based in Fair Oaks Ranch, TX, with 40 years of industry experience. Arthur is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,505 clients with $2.2B in assets under management.

Advisors Asset Management, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
124 advisors
Number of Clients
1,505 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$2.2B

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Annual fees for fixed income strategies generally range from 0.20% to 2.00%, and equity strategies range from 0.45% to 2.5%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Fair Oaks Ranch, TX

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Arthur is a committee member for the Hal Lynch Foundation, a scholarship foundation, since 2016, dedicating minimal time. He is also a board member for Boerne LeaderSteps, a non-profit organization, since 2017, dedicating minimal time.

Employment History
Current Registrations
Advisors Asset Management, INC.
November 2014 - Present · 11 yrs 11 mos
Advisors Asset Management, INC.Broker
December 2013 - Present · 12 yrs 10 mos
Advisors Asset Management, INC.
December 2013 - Present · 12 yrs 10 mos
Previous Registrations
Lincoln Financial Distributors, INC.
September 2008 - February 2011 · 2 yrs 5 mos
Lincoln Financial Distributors, INC.Broker
September 2008 - October 2013 · 5 yrs 1 mo
Citigroup Global Markets INC.
February 1998 - August 2008 · 10 yrs 6 mos
Citigroup Global Markets INC.Broker
July 1993 - August 2008 · 15 yrs 1 mo
Lehman Brothers INC.Broker
July 1992 - July 1993 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1986 - July 1992 · 6 yrs 3 mos
The Stuart-James Company, INC.Broker
July 1985 - February 1986 · 7 mos
State Registrations1 state
TX
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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