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Arthur Francis Sullivan

Advisors Asset Management, Inc.

Fair Oaks Ranch, TX

Boerne, TX

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-11-13
  • TX RA
    APPROVED
    Since 2014-11-13

Branch Locations

Fair Oaks Ranch, TX • United States

28025 Ih-10 West, Boerne, TX 78006 • 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
OrganizationCityStateFromTo
Advisors Asset Management Monument CO 12/2013 Present
  • 12/2013 → Present
    Advisors Asset Management
    Monument, CO
Previous Registrations
  • 2008-09-17 → 2011-02-24
    Lincoln Financial Distributors, Inc.
    Fair Oaks Ranch, TX
    Tulsa, OK
  • 1998-02-19 → 2008-08-14
    Citigroup Global Markets Inc.
    Oklahoma City, OK
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-12
S63 Uniform Securities Agent State Law Examination 1985-09-05
  • S65 Uniform Investment Adviser Law Examination
    2014-11-12
  • S63 Uniform Securities Agent State Law Examination
    1985-09-05
Other Names
  • Arthur Francis Sullivan

View on SEC IAPD

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