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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

DENNIS MICHAEL SULLIVAN

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

NAPLES, FL

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Search this name across graphsid dfx:ria:d36b323e-4543-6e72-c00f-9776e724175c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 2, 1999 to Sep 14, 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 23, 1999
First registration: Aug 2, 1999
Dual registered: yes, broker-dealer
Other names: MIKE SULLIVAN
IAPD individual key: 833854

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 6, 2017	n/a	yes	NAPLES, FL	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Sep 25, 2017	no	NAPLES, FL	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Apr 10, 2006	Feb 13, 2013	no	NAPLES, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Apr 20, 2006	no	NEW YORK, NY\|NAPLES, FL	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Aug 2, 1999	Feb 21, 2006	no	NAPLES, FL	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
RAYMOND JAMES & ASSOCIATES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 25, 2017	Oct 6, 2017	11	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN KEEGAN & COMPANY, LLC	Apr 20, 2006	Apr 10, 2006	-10	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
705:149018:FL:2017-09-25	Sep 25, 2017	Oct 6, 2017	NAPLES, FL	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Oct 6, 2017 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Sep 25, 2017factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Apr 10, 2006 to Feb 13, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Apr 20, 2006factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Aug 2, 1999 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.