Peter Anthony Sullivan

Current Employers

Employment History

• 09/1988 → Present
  Arlen Corporation
  Providence, RI
• 04/2001 → Present
  Osaic Wealth, Inc., F/K/A Royal Alliance Associates, Inc.
  Providence, RI
• 03/2001 → Present
  Arlen Capital, Llc
  Providence, RI

Other Businesses

1 CO-TRUSTEE POSITION: Co-Trustee NATURE: Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 111 S. Angell Street, Providence, RI 02906; United States DESCRIPTION: I have been asked by Mary I. Sullivan (my aunt) to act as co-trustee. Mary I. Sullivan has no siblings and no children. I am her closest family member. 2. ARLEN CAPITAL, LLC POSITION: Owner NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/02/2001 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: President, and a personal advisor visiting with clients and performing all duties of an investment advisor. 3. ARLEN CORPORATION POSITION: Owner - NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/27/1988 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Non-variable life insurance sales and servicing. 4. ARLEN REALTY POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/2008 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwick RI 02886, United States DESCRIPTION: The sole purpose of Arlen Realty is to own our office condo that Arlen Corporation resides. It does not have any other objectives. 5. POWER OF ATTORNEY POSITION: POA - Power of Attorney NATURE: Previously disclosed being Co-Trustee for my elder Aunt and now I have to pay her bills as she is in Skilled Nursing Facility and sold her home 10/12/2023. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2023 ADDRESS: 117 Metro Center Blvd, Suite 2006, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Need to do online banking, bill paying for my elder Aunt. She is the last one of her generation in our family and I am the Co-Trustee with her on her Trust (previously disclosed) and now have to pay her bills. 6. CO-TRUSTEE POSITION: Co-Trustee NATURE: Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 185 Pinecrest Drive, Pawtucket RI 02861, United States DESCRIPTION: I have been asked by Mary I. Sullivan (my aunt) to act as co-trustee. Mary I. Sullivan has no siblings and no children. I am her closest family member. I received approval from Michael Fleming. Compliance has comfirmed it is acceptable as well as did Scott Hernberg. I will be receiving no compensation for this activity.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-03-30
• S63 Uniform Securities Agent State Law Examination
  1984-03-17