Colleen Sullivan is a registered investment advisor, based in San Angelo, TX, with 30 years of industry experience.
Location
3471 Knickerbocker Road, San Angelo, TX, 76904
Get directionsHistory
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.
Judgment / Lien
July 2008Other Business Activities
Colleen works as a Registered Sales Associate at First Financial Bank N.A. since 2016 and as brokerage services support staff at First Financial Investment Advisors since 2019, dedicating about half of her time to each.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
August 2016 - Present · 9 yrs 9 mos
Raymond James Financial Services, INC.Broker
August 2016 - Present · 9 yrs 9 mos
Previous Registrations
Cetera Investment Advisers LLC
January 2014 - July 2016 · 2 yrs 6 mos
Cetera Investment Services LLCBroker
January 1998 - July 2016 · 18 yrs 6 mos
Cetera Investment Services LLC
January 1998 - January 2014 · 16 yrs
Fiserv Investor Services, INC.Broker
September 1997 - January 1998 · 4 mos
Link Investment Services, INC.Broker
April 1995 - September 1997 · 2 yrs 5 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.