DS
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Dennis Sullivan
27 Years of Experience
Naples, FL
1 DisclosureBroker
Dennis Sullivan is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Naples, FL, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
5495 Bryson Drive, Suite 421, Naples, FL, 34109
Get directionsHistory
Regulatory History (1)
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Customer Dispute
April 2009Denied
Other Business Activities
Dennis is the CEO of DMS Asset Management, his operating company. He dedicates about half his time to this business, including during trading hours.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2017 - Present · 8 yrs 11 mos
Raymond James Financial Services, INC.Broker
September 2017 - Present · 9 yrs
Previous Registrations
Raymond James & Associates, INC.Broker
February 2013 - September 2017 · 4 yrs 7 mos
Raymond James & Associates, INC.
February 2013 - September 2017 · 4 yrs 7 mos
Morgan Keegan & Company, INC.
April 2006 - February 2013 · 6 yrs 10 mos
Morgan Keegan & Company, INC.Broker
April 2006 - February 2013 · 6 yrs 10 mos
Citigroup Global Markets INC.
February 2006 - April 2006 · 2 mos
Citigroup Global Markets INC.Broker
February 2006 - April 2006 · 2 mos
Legg Mason Wood Walker INC
August 1999 - February 2006 · 6 yrs 6 mos
Legg Mason Wood Walker, IncorporatedBroker
July 1999 - February 2006 · 6 yrs 7 mos
Long Grove Trading CO.Broker
January 1999 - July 1999 · 6 mos
State Registrations22 states
CACOFLGAIAILINKSKYLAMAMDMINCNYOHORPATNTXVAWI
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.