Eric Thomas Sullivan

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-23

NY RA
APPROVED

Since 2021-11-23

Branch Locations

Manlius, NY • 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
Cadaret, Grant & Co., Inc.	North Syracuse	NY	12/2007	07/2018
Jds Associates, Inc.	North Syracuse	NY	06/2007	07/2018
Securities America, Inc.	North Syracuse	NY	03/2019	12/2019
Johnston'S Tax Service, Inc.	Syracuse	NY	01/1997	Present
Lpl Financial, Llc	Manlius	NY	09/2020	Present

12/2007 → 07/2018

Cadaret, Grant & Co., Inc.

North Syracuse, NY
06/2007 → 07/2018

Jds Associates, Inc.

North Syracuse, NY
03/2019 → 12/2019

Securities America, Inc.

North Syracuse, NY
01/1997 → Present

Johnston'S Tax Service, Inc.

Syracuse, NY
09/2020 → Present

Lpl Financial, Llc

Manlius, NY

Other Businesses

1. 09/25/2020 - IVY FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ MANLIUS, NY 2. 01/01/1996 - JOHNSTON'S TAX SERVICE INC./ TAX PREP/ACCOUNTING/CPA/ INVESTMENT RELATED/ 0%/ SYRACUSE, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-11-22
S63	Uniform Securities Agent State Law Examination	1999-01-15
S65	Uniform Investment Adviser Law Examination	1999-01-15

S66 Uniform Combined State Law Examination

2021-11-22
S63 Uniform Securities Agent State Law Examination

1999-01-15
S65 Uniform Investment Adviser Law Examination

1999-01-15

View on SEC IAPD