James Scott Sullivan

Employer firm

Private Advisor Group, LLC CRD 155216

$44.3B regulatory AUM 1,033 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2014 → Present
  Lpl Financial, Llc
  Owensboro, KY
• 06/2014 → Present
  Private Advisor Group, Llc
  Owensboro, KY

Previous Registrations

• 2011-06-29 → 2014-07-22
  Osaic Fs, Inc.
  Owensboro, KY
  Owensboro, KY

Other Businesses

1. 6/30/2014 - FINANCIAL FREEDOM PARTNERS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Time Spent 100%. 2. 6/30/2014 - Financial Freedom Partners - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - Lines offered: fixed annuities, term life, and disability. 3. 9/17/2014 - PRIVATE ADVISOR GROUP - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - TIME SPENT 100%. 4. 6/13/2016 - Diversified Brokerage Specialists - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 05/05/2016 - 2 Hours Per Month During Securities Trading - Lines offered: fixed annuities, term & Whole life. 5. 9/21/2017 - Sullivan Financial Advisory Services LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/12/2017 - 160 Hours Per Month/8 Hours During Securities Trading. 6. 10/31/2017 - HHTG LLC - Investment Related - 2703 Breckenridge Street, Suite A, Owensboro, KY 42303 - Real Estate Rental - Start Date 11/01/2017 - 1 Hour Per Month During Securities Trading - Member of LLC which owns commercial building. 7. 11/1/2017 - Navigator Financial LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 11/01/2017 - 1 Hour Per Month During Securities Trading. 8. 12/18/2017 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 06/30/2014 - 130 Hours Per Month/130 During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 12/18/2017. I expect to spend approximately 130 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9. 10/9/2018 - Ignite Baits LLC - Not Investment Related - 2213 Woodland Drive, Owensboro, KY 42301 - Outside/W-2 Employment - Start Date:09/20/2018 - 5 Hours Per Month/0 Hours During Trading. 10. 05/22/2023 - Financial Freedom Partners - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Start Date 05/05/2023 - 8 Hours Per Month/ 0 Hours During Securities Trading 11. 10/30/2024 - Rough Life, LLC - Real Estate Rental - Investment Related - Westview, KY - Start Date 06/24/2024 - 3 Hours Per Month/ 0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-06-09
• S63 Uniform Securities Agent State Law Examination
  2000-10-20

Other Names

• Scott Sullivan
• James Scott Sullivan
• James Scott Sullivan Jr