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Andrew Sullivan

Raymond James & Associates, INC.
22 Years of Experience
Columbus, GA
2 DisclosuresBroker
View SEC Summary
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Andrew Sullivan is a registered investment advisor at Raymond James & Associates, INC., based in Columbus, GA, with 22 years of industry experience. Andrew is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

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

Location

260 Brookstone, Centre Parkway, Columbus, GA, 31904

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History

Regulatory History (2)
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
October 2011
Denied
Customer Dispute
October 2008
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
September 2022 - Present · 4 yrs 1 mo
Raymond James & Associates, INC.
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Morgan StanleyBroker
August 2017 - September 2022 · 5 yrs 1 mo
Morgan Stanley
August 2017 - September 2022 · 5 yrs 1 mo
Wells Fargo Clearing Services, LLC
August 2014 - August 2017 · 3 yrs
Wells Fargo Clearing Services, LLCBroker
August 2014 - August 2017 · 3 yrs
J.P. Morgan Securities LLC
October 2012 - August 2014 · 1 yr 10 mos
J.P. Morgan Securities LLCBroker
October 2012 - August 2014 · 1 yr 10 mos
Chase Investment Services CORP.
September 2006 - October 2012 · 6 yrs 1 mo
Chase Investment Services CORP.Broker
August 2006 - October 2012 · 6 yrs 2 mos
Signator Investors, INC.Broker
March 2006 - July 2006 · 4 mos
Resource Horizons Group LLCBroker
August 2003 - October 2004 · 1 yr 2 mos
Investors Capital CORP.Broker
May 2002 - August 2003 · 1 yr 3 mos
State Registrations46 states
AKALARAZCACOCTDCFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENJNMNVNYOHOKORPARISCSDTNTXVAWAWIWY
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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