Shaun D Sullivan

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2024-01-03

ME RA
APPROVED

Since 2024-01-03

Branch Locations

600 Sable Oaks Dr Ste 240, South Portland, ME 04106 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	09/2015	01/2024
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	09/2015	01/2024
Lpl Financial	South Portland	ME	01/2024	Present

09/2015 → 01/2024

Cambridge Investment Research, Inc

Fairfield, IA
09/2015 → 01/2024

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
01/2024 → Present

Lpl Financial

South Portland, ME

Previous Registrations

2015-09-16 → 2024-01-08

Cambridge Investment Research Advisors, Inc.

Boxborough, MA

Portland, ME
2013-04-04 → 2015-09-21

Signator Investors, Inc.

Andover, MA

Other Businesses

1. 01/23/2024 - Legacy Point Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/17/2024 - 160 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-11-27
S63	Uniform Securities Agent State Law Examination	2010-08-26

S65 Uniform Investment Adviser Law Examination

2012-11-27
S63 Uniform Securities Agent State Law Examination

2010-08-26

View on SEC IAPD