RS
RS
Raymond Sullivan
20 Years of Experience
Naples, FL
1 DisclosureBroker
Raymond Sullivan is a registered investment advisor at Wells Fargo Advisors, based in Naples, FL, with 20 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Loading...
Location
2640 Golden Gate Pkwy, Ste 206A, Naples, FL, 34105
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.
Customer Dispute
August 2016Award / Judgment
Employment History
Current Registrations
Wells Fargo Advisors
March 2016 - Present · 10 yrs 2 mos
Wells Fargo Advisors Financial Network, LLCBroker
March 2016 - Present · 10 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2006 - December 2014 · 8 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2006 - December 2014 · 8 yrs 11 mos
Ameriprise Financial Services, INC.
July 2004 - November 2005 · 1 yr 4 mos
Ameriprise Financial Services, INC.Broker
June 2004 - November 2005 · 1 yr 5 mos
Ids Life Insurance CompanyBroker
June 2004 - November 2005 · 1 yr 5 mos
State Registrations4 states
COFLPAWI
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.