Kevin Ronald Sullivan

Current Employers

Employment History

• 06/2014 → 05/2019
  Ameriprise Financial Services, Inc.
  Lockport, NY
• 05/2019 → Present
  Lpl Financial, Llc
  Lockport, NY
• 05/2019 → 10/2025
  Kd Sullivan Wealth Strategies
  Winslow, ME
• 11/2025 → Present
  Warner Wealth
  Shelton, CT

Previous Registrations

• 2014-06-12 → 2019-05-02
  Ameriprise Financial Services, Llc
  Asheboro, NC
  Winslow, ME
  Lockport, NY
• 2009-04-01 → 2014-06-16
  Raymond James Financial Services Advisors, Inc
  Winslow, ME
• 2007-03-02 → 2009-03-27
  Wells Fargo Advisors Financial Network, Llc
  Winslow, ME
• 2004-10-20 → 2007-03-05
  Banc Of America Investment Services, Inc.
  Gardiner, ME
  Augusta, ME
  Augusta, ME
  Augusta, ME
  Winthrop, ME
  Waterville, ME
  Waterville, ME
• 2004-03-25 → 2004-10-20
  Quick & Reilly, Inc.
  Waterville, ME
• 1999-05-14 → 2004-03-24
  Keybanc Capital Markets Inc.
  Waterville, ME

Other Businesses

1. 05/01/2019 - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 12/15/2006 - 0 hours per month/ during trading 2. 05/01/2019 - Sullivan Consultants Financial Group, LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - Winslow, ME - Start Date: 03/05/2007 - 0 Hrs/Mth - 0 Hrs During Trading. 3. 05/01/2019 - Book Author: "Managing Income in Retirement - Investment Related -Start Date: 01/15/2012 - 0 Hrs/Mth - 0 Hrs During Trading. 4. 10/1/2020 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Legal Shield - Start Date: 10/1/2020 - 5 Hours Per Month/1 Hour During Securities Trading - Be an affiliate with Legal Shield. 5. 2/21/2023 - Physician Wealth Meds - a wealth podcast for doctors - Investment Related - At Reported Business Location(s) - Other - PODCAST - Start Date - 02/01/2023 - 15 Hours Per Month/10 Hours During Securities Trading 6. 03/11/2024 - K D S Premium Properties, LLC - Non-Inv Related - Business Entity For Tax/Investment Purposes Only - Started: 3/1/2024 - 0 Hrs/Mth - 0 Hrs During Trading. 7. 03/26/2024 - K D S Wealth Properties, LLC - Real Estate Rental - Investment Related - At Reported Business Location - Start Date 03/25/2024 - 0 Hours Per Month/ During Trading. 8. 11/14/2025 - Warner Wealth - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/14/2025 - 420 hours per month/ 8 hours during trading 9. 11/17/2025 - Warner Wealth - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 11/14/2025 - 160 hours per month/ 8 hours during trading - I provide investment advisory services through Warner Wealth, an independent investment advisor firm. I started this business activity in 11/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 10. 03/12/2026-K D S Wealth Properties, LLC-Member / Manager-Real Estate Rental-Inf related-At Lockport, NY-Start date 03/01/2026-1hrs/mth-0hrs/mth during trading 11. 07/23/2026 - Sullivan Insights, LLC, Masterclass/Coaching for Physicians titled "Income Decision Room" - Virtual events on educational topics - Lockport, NY - Start Date: 8/1/2026 - 10 Hrs/Mth - 0 Hrs During Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-01-29
• S65 Uniform Investment Adviser Law Examination
  1996-05-07