James Sullivan
James Sullivan is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Punta Gorda, FL, with 53 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 Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.
Fee Estimator
Location
Punta Gorda, FL
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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 Activities
James is involved with several entities, including CIR and CIRA as EVP & Director, TBS/EPC/CMG/CIG as EVP & Director, The Cambridge Foundation as Director, Eneric Petroleum Corp as Senior VP of Marketing, and CIRA as an advisory rep of a RIA. These activities take up a significant amount of James's time.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Continuity Partners Group, LLCBroker
Aig Financial Advisors, INC.Broker
Sunamerica Securities, INC.Broker
New England SecuritiesBroker
Anchor National Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
Ids Marketing CorporationBroker
Investors Diversified Services, INC.Broker
State Registrations5 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.
Exams
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