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Colin Sullivan

Vanguard Advisers, INC.
7 Years of Experience
Malvern, PA
1 DisclosureBroker
View SEC Summary
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Colin Sullivan is a registered investment advisor at Vanguard Advisers, INC., based in Malvern, PA, with 7 years of industry experience. Colin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 791,528 clients with $340B in assets under management.

Vanguard Advisers, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2433 advisors
IM Fee
Planning only
Assets Under Management
$344.6B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
  • Retirement plan consultation and financial plan (New model) — $250 for the consultation and plan, unless a lower fee was agreed upon with your plan sponsor.
  • Retirement plan consultation and financial plan (Legacy model for accounts $50,000 to $500,000) — $250, unless you qualify for a fee waiver (waivers apply if you have over $500,000 in total Vanguard assets or are over age 55).
  • Retirement plan consultation and financial plan (Legacy model for accounts under $50,000) — $1,000, unless you qualify for a fee waiver.
One-Time Plan:$250 - $1,000
View Full SEC Brochure

Location

100 Vanguard Blvd, Malvern, PA, 19355

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History

Regulatory History (1)
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Customer Dispute
January 2021
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Colin is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. The filing does not specify any outside business activities.

Employment History
Current Registrations
Vanguard Marketing Corporation
May 2021 - Present · 5 yrs 5 mos
Vanguard Advisers, INC.
May 2021 - Present · 5 yrs 5 mos
Vanguard Marketing CorporationBroker
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Prudential Financial Planning Services
February 2020 - April 2021 · 1 yr 2 mos
Pruco Securities, LLC.Broker
February 2019 - April 2021 · 2 yrs 2 mos
State Registrations2 states
PATX
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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