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James Michael Sullivan

25 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
32 advisors
Number of Clients
2,967 clients
Average Client Portfolio
$1.3M average
Assets Under Management
$3.8B

Fee Structure

Minimum Investment:$250K
Financial Planning:Included in AUM fee
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Location

176 Westbrook Road, Essex, CT, 06426

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

James is a Financial Advisor and VP of Sales at Essex Financial, also involved in insurance business, dedicating full-time hours to this role. He is also a Registered Representative with The Leader's Group, spending about 10-20% of his time there, and an insurance agent for Essex Financial Services, dedicating a few hours per week to life insurance and fixed annuity sales.

Employment History
Current Registrations
The Leaders Group, INC.Broker
June 2021 - Present · 4 yrs 8 mos
The Leaders Group, INC.
June 2021 - Present · 4 yrs 8 mos
Essex Financial Services, INC.
April 2009 - Present · 16 yrs 10 mos
Previous Registrations
Essex Financial Services, INC.Broker
April 2009 - June 2021 · 12 yrs 2 mos
Strategic Advisers, INC.
June 2003 - February 2009 · 5 yrs 8 mos
Fidelity Brokerage Services LLCBroker
April 2001 - February 2009 · 7 yrs 10 mos
Allmerica Investments, INC.Broker
October 1999 - August 2000 · 10 mos
State Registrations7 states
CTFLMANHNYRIVT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.