Stephen Thomas Sullivan

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2005 → 11/2018
  John Hancock/Signator Investors, Inc.
  Melville, NY
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Melville, NY

Other Businesses

1. EMPLOYEE BENEFITS COSULTING, LI GROUP BENEFITS.COM, 24 BROWNING DRIVE, GREENLAWN, NY 11740, SOLE PROPRIETOR, SALES & SERVICE OF GROUP BENEFITS, START OF RELATIONSHIP: OCT 1, 2013, APPROXIMATE # OF HOURS PER MONTH: 5 APPROXIMATE # OF HOURS SPENT DURING REGULAR SECURITIES TRADING HOURS: 5..... 2. INSURANCE BROKER POSITION: Insurance Broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 75 SECURITIES TRADING HOURS: 75 START DATE: 05/02/2012 ADDRESS: 575 Broadhollow Road, Melville NY 11747, United States DESCRIPTION: Insurance Sales of Life, Annuities, LTC + Disability 3. STEPHEN SULLIVAN - GROUP BENEFITS CONSULTING POSITION: Insurance Broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 10/01/2013 ADDRESS: 575 Broadhollow Road, Melville NY 11747, United States DESCRIPTION: Sales + Service of Group Benefits 4. LIGHTHOUSE FINANCIAL NETWORK LLC POSITION: Investment Advisor Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 04/01/2008 ADDRESS: 575 Broadhollow Rd, Melville NY 11747, United States DESCRIPTION: Investment Advisor Representative for Lighthouse Financial Network, an independent firm of Osaic Wealth Inc. 5. EXECUTOR OF MOTHER'S WILL POSITION: executor NATURE: settling mother's estate INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1800 ADDRESS: 24 Browning Drive, Greenlawn NY 11740, United States DESCRIPTION: acting as executor to settle my mother's estate

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-06-23
• S63 Uniform Securities Agent State Law Examination
  1992-05-22

Other Names

• Stephen T Sullivan