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ChFC
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ChFC

James Osullivan

Commonwealth Financial Network
52 Years of Experience
Warwick, RI
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Osullivan is a ChFC-designated registered investment advisor at Commonwealth Financial Network, based in Warwick, RI, with 52 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

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

Location

91 Tollgate Road, Suite 400, Warwick, RI, 02886

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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 ActivitiesSells Insurance

James sells fixed insurance, dedicating about 10% of his time during securities trading hours. He is also a co-owner of Toll Gate Capital Advisors, LLC, Ramz Associates LLC (a real estate holding company), and Strawberry Hill, LLC (managing commercial real estate), dedicating full-time hours to Toll Gate Capital Advisors.

Employment History
Current Registrations
Commonwealth Financial Network
November 2007 - Present · 18 yrs 11 mos
Commonwealth Financial NetworkBroker
November 2007 - Present · 18 yrs 11 mos
Previous Registrations
1717 Capital Management Company
June 2000 - November 2007 · 7 yrs 5 mos
1717 Capital Management CompanyBroker
April 1974 - November 2007 · 33 yrs 7 mos
State Registrations27 states
ALAZCACOCTDEFLGAHIIDILMAMDMEMINCNHNJNYOKPARISCTNTXVAVT
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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