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Dennis Sullivan

Raymond James Financial Services Advisors, INC
27 Years of Experience
Naples, FL
1 DisclosureBroker
View SEC Summary
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Dennis Sullivan is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Naples, FL, with 27 years of industry experience. Dennis is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5495 Bryson Drive, Suite 421, Naples, FL, 34109

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History

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
April 2009
Denied
View Full SEC ReportHow to Read Disclosures
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 · 9 yrs
Raymond James Financial Services, INC.Broker
September 2017 - Present · 9 yrs 1 mo
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.
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