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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

KEVIN M SULLIVAN

Advisor at CETERA INVESTMENT ADVISERS LLC

LOMBARD, IL

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Search this name across graphsid dfx:ria:f0fb2262-3c4d-f2d2-c459-34204f6526c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 26, 2009 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: CETERA INVESTMENT ADVISERS LLC
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: Jul 29, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 29, 2003
First registration: Jan 26, 2009
Dual registered: yes, broker-dealer
Other names: KEVIN MICHAEL SULLIVAN
IAPD individual key: 3172548

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 28, 2024	n/a	yes	LOMBARD, IL	Current employment
WINTRUST INVESTMENTS	Former SEC adviser	Feb 17, 2023	Nov 6, 2024	no	CHICAGO, IL\|Glenview, IL\|Chicago, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Feb 18, 2023	no	CHICAGO, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jan 26, 2009	Oct 1, 2012	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	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
WINTRUST INVESTMENTS	CETERA INVESTMENT ADVISERS LLC	Nov 6, 2024	Oct 28, 2024	-9	Firm change	RIA to ibd
J.P. MORGAN SECURITIES LLC	WINTRUST INVESTMENTS	Feb 18, 2023	Feb 17, 2023	-1	Firm change	Wirehouse to RIA
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Oct 28, 2024 to presentfactForm ADV
→ WINTRUST INVESTMENTSRegistered adviserregistration: previous registration
Feb 17, 2023 to Nov 6, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Feb 18, 2023factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jan 26, 2009 to Oct 1, 2012factForm ADV

Dated events

Occurred
Nov 6, 2024
Advisor changed firm
Kevin M Sullivan left Wintrust Investments for Cetera Investment Advisers Llc (registered 2024-10-28)
Form ADVobserved 6 days ago
Occurred
Feb 18, 2023
Advisor changed firm
Kevin M Sullivan left J.P. Morgan Securities Llc for Wintrust Investments (registered 2023-02-17)
Form ADVobserved 6 days ago