Patrick J Sullivan

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 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

• 06/2016 → 12/2017
  Homemaking
  Oglesby, IL
• 12/2017 → 09/2021
  Principal Life Insurance Company
  La Salle, IL
• 12/2017 → Present
  Principal Securities, Inc.
  La Salle, IL
• 03/2018 → Present
  Wayland Financial Group
  La Salle, IL
• 09/2021 → Present
  Principal Life Insurance Company
  La Salle, IL

Other Businesses

***Wayland Financial Group - Salaried Staff; Investment Related; LaSalle, IL; Salaried Staff; office administration, servicing accounts,; Start Date: 11/30/2020; 160 hrs per month; 160 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2018-01-29
• S65 Uniform Investment Adviser Law Examination
  1996-04-09
• S63 Uniform Securities Agent State Law Examination
  1996-04-01

Other Names

• Patrick J Sullivan
• Patrick John Sullivan