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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

KEVIN RONALD SULLIVAN

Advisor at WARNER WEALTH

MADISON, CT | Lockport, NY | WINSLOW, ME

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Search this name across graphsid dfx:ria:6318e280-705b-175a-ea51-698bd39097ec

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: May 14, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WARNER WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 7, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 2
Registered states: 5
Exams: S63|S65
First exam: May 7, 1996
First registration: May 14, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1966124

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WARNER WEALTH	Independent wealth	Nov 16, 2025	n/a	yes	Lockport, NY\|MADISON, CT	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 1, 2019	n/a	yes	WINSLOW, ME\|MADISON, CT	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 12, 2014	May 2, 2019	no	Asheboro, NC\|Winslow, ME\|Lockport, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Apr 1, 2009	Jun 16, 2014	no	WINSLOW, ME	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 2, 2007	Mar 27, 2009	no	WINSLOW, ME	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Mar 5, 2007	no	GARDINER, ME\|AUGUSTA, ME\|AUGUSTA, ME\|AUGUSTA, ME\|WINTHROP, ME\|WATERVILLE, ME\|WATERVILLE, ME	Previous registration
QUICK & REILLY, INC.	n/a	Mar 25, 2004	Oct 20, 2004	no	WATERVILLE, ME	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	May 14, 1999	Mar 24, 2004	no	WATERVILLE, ME	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	May 2, 2019	May 1, 2019	-1	Firm change	Ibd to RIA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 16, 2014	Jun 12, 2014	-4	Firm change	Other
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Mar 27, 2009	Apr 1, 2009	5	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Mar 5, 2007	Mar 2, 2007	-3	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other
KEYBANC CAPITAL MARKETS INC.	QUICK & REILLY, INC.	Mar 24, 2004	Mar 25, 2004	1	Firm change	Other

Relationships

Registered with (8)

→ WARNER WEALTHRegistered adviserregistration: current employment
Nov 16, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 1, 2019 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 12, 2014 to May 2, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Apr 1, 2009 to Jun 16, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 2, 2007 to Mar 27, 2009factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Mar 5, 2007factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Mar 25, 2004 to Oct 20, 2004factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
May 14, 1999 to Mar 24, 2004factForm ADV

Dated events

No dated event names this entity yet.