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Sean Sullivan
21 Years of Experience
Monroe, CT
3 DisclosuresSells Insurance
Sean Sullivan is a registered investment advisor at Thrivealike LLC, based in Monroe, CT, with 21 years of industry experience. Sean operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Fees are generally negotiable. 401(k) management fees are up to 0.60%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Monroe, CT
Get directionsHistory
Regulatory History (3)
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.
Financial
October 2022Final
Customer Dispute
April 2019Settled
Customer Dispute
December 2006Closed-No Action
Other Business ActivitiesSells Insurance
Sean works as an independent insurance agent in White Plains, NY since 2022. This activity takes about 10-20% of his time.
Employment History
Current Registrations
Thrivealike LLC
January 2026 - Present · 4 mos
Previous Registrations
Lifeworks Advisors, LLC
July 2023 - January 2026 · 2 yrs 6 mos
Arete Wealth Management, LLCBroker
July 2022 - July 2023 · 1 yr
Arete Wealth Advisors, LLC
July 2022 - July 2023 · 1 yr
National Securities CorporationBroker
September 2017 - July 2022 · 4 yrs 10 mos
National Asset Management, INC.
September 2017 - July 2022 · 4 yrs 10 mos
Voya Financial Advisors, INC.
March 2017 - September 2017 · 6 mos
Voya Financial Advisors, INC.Broker
March 2017 - September 2017 · 6 mos
Securities America, INC.Broker
May 2014 - October 2016 · 2 yrs 5 mos
Fsc Securities CorporationBroker
November 2012 - May 2014 · 1 yr 6 mos
Newbridge Securities CorporationBroker
December 2011 - June 2012 · 6 mos
Maxim Group LLCBroker
November 2008 - December 2011 · 3 yrs 1 mo
Eastbrook Capital Group LLCBroker
March 2004 - November 2008 · 4 yrs 8 mos
State Registrations1 state
CT
Advisor
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.