James Sullivan is a CFP-designated registered investment advisor, based in Essex, CT, with 25 years of industry experience.
Location
176 Westbrook Road, Essex, CT, 06426
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is a Financial Advisor and VP of Sales at Essex Financial, also involved in insurance business, dedicating full-time hours to this role. He is also a Registered Representative with The Leader's Group, spending about 10-20% of his time there, and an insurance agent for Essex Financial Services, dedicating a few hours per week to life insurance and fixed annuity sales.
Employment History
Current Registrations
The Leaders Group, INC.Broker
The Leaders Group, INC.
Essex Financial Services, INC.
Previous Registrations
Essex Financial Services, INC.Broker
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
Allmerica Investments, INC.Broker
State Registrations7 states
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.