Kathleen 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

• 04/2024 → Present
  Williams Financial Group
  Clinton, MA
• 11/2010 → 04/2024
  Avidia Bank
  Hudson, MA
• 11/2024 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 04/2024 → 11/2024
  Cetera Advisors Llc
  St Cloud, MN
• 05/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. NAME OF OTHER BUSINESS: NOTARY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY START DATE: 10/2020 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS:0 BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES 2. NAME OF OTHER BUSINESS: WILLIAMS FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2024 POSITION/TITLE/RELATIONSHIP: CLIENT SERVICE ASSOCIATE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: ANSWER PHONE, SCHEDULE APPOINTMENTS,FILE 3. NAME OF OTHER BUSINESS: MARY KAY INVESTMENT RELATED: NO ADDRESS: 17 THOMAS FARM CIRCLE SHREWSBURY, MA 01545 NATURE OF BUSINESS: BEAUTY CONSULTANT START DATE: 04/2007 POSITION/TITLE/RELATIONSHIP: INDEPENDENT BEAUTY CONSULTANT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: INDEPENDENT CONSULTANT TO HELP PEOPLE WITH SKIN CARE AND COSMETIC PRODUCTS

Exams

• S66 Uniform Combined State Law Examination
  2025-05-09

Other Names

• K Joy Sullivan
• K Joy Kilroy