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Shannon Sullivan

LPL Financial LLC
36 Years of Experience
Alpharetta, GA
1 DisclosureBroker
View SEC Summary
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Shannon Sullivan is a CFP-designated registered investment advisor at LPL Financial LLC, based in Alpharetta, GA, with 36 years of industry experience. Shannon is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

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

Location

5755 N Point Pkwy, Ste 207, Alpharetta, GA, 30022

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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
April 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Shannon is involved in several business activities, primarily related to real estate rental through various LLCs, including Diego and Duchess Properties, S4 Properties, S5H Properties, S2 Partners, and NGI Properties. Shannon also has business entities for tax and investment purposes, such as Sullivan Wealth Management and MTBW Enterprises, LLC, dedicating minimal time to each.

Employment History
Current Registrations
LPL Financial LLC
August 2008 - Present · 18 yrs 2 mos
LPL Financial LLCBroker
August 2008 - Present · 18 yrs 2 mos
Previous Registrations
Suntrust Investment Services, INC.
April 1996 - August 2008 · 12 yrs 4 mos
Suntrust Investment Services, INC.Broker
January 1996 - August 2008 · 12 yrs 7 mos
Suntrust Securities, INC.Broker
April 1989 - December 1994 · 5 yrs 8 mos
The Stuart-James Company, IncorporatedBroker
April 1989 - April 1989 · 0 mos
State Registrations19 states
ALARCACOFLGAILKYMNMOMSNCNMOHPASCTNTXVA
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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