Kevin M Sullivan

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 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

• 10/2012 → 02/2023
  J.P. Morgan Securities Llc
  Chicago, IL
• 02/2023 → Present
  Wintrust Investments
  Glenview, IL
• 10/2024 → Present
  Cetera Investment Services Llc
  Saint Cloud, MN
• 10/2024 → Present
  Cetera Investment Advisers Llc
  Lombard, IL

Previous Registrations

• 2023-02-17 → 2024-11-06
  Wintrust Investments Llc
  Chicago, IL
  Glenview, IL
  Chicago, IL
• 2012-10-01 → 2023-02-18
  J.P. Morgan Securities Llc
  Chicago, IL
• 2009-01-26 → 2012-10-01
  Chase Investment Services Corp.
  Chicago, IL
  Chicago, IL
  Chicago, IL

Other Businesses

1. OWNER OF RENTAL PROPERTIES 2. OWNER OF MAPLEWOOD WEALTH MANAGEMENT, LLC; DBA FOR CETERA BUSINESS

Exams

• S66 Uniform Combined State Law Examination
  2009-01-21
• S63 Uniform Securities Agent State Law Examination
  2003-07-29

Other Names

• Kevin Michael Sullivan