James Sullivan
James Sullivan is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Punta Gorda, FL, with 52 years of industry experience. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 323,031 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Cambridge Investment Research Advisors (CIRA) offers investment management services through several platforms. Fees are based on a percentage of your portfolio's value and are negotiable. The maximum annual fee is 2.25%. Fees can be structured as flat, tiered, or breakpoint. You may also encounter setup fees and service fees. Fees are typically deducted directly from your account. CIRA also offers WealthPort, a wrap fee program with inclusive fees. The WealthPort maximum advisory fee is 2.25% annually.
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.
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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 Marketing CorporationBroker
Ids Life Insurance CompanyBroker
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.