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Connecticut Five Star award winner

PROFESSIONAL PROFILE

Joseph M. Sullivan Jr., CFS®

Wealth Planning Advisor
Sullivan Financial Services, LLC
1449 Old Waterbury Rd Ste 207
Southbury, CT 06488
Office: 203-262-4485
joe.sullivanjr@lpl.com
www.sullivanfinancialservicesllc.com

With over 22 years of experience, Joseph M. Sullivan has conducted financial and retirement planning seminars for a number of major corporations as well as being a featured speaker at public seminars specializing in asset allocation, retirement planning, education funding and estate planning.

Joe's commitment to financial services is acknowledged by his successful completion of rigorous program requirements, certifications and continuing education credits. His registrations include Series 7 (General Securities), Series 63 (Uniform Securities Act/BlueSky Law), and - held through LPL Financial, and Series 65 held through Integrated Wealth Concepts. He is state certified through the Connecticut Partnership for Long Term Care to present clients with options regarding long term care health insurance. He has also successfully completed the Foundations of Estate Planning Curriculum and is a member of the Fairfield County Chapter of Financial Planning.

To best accommodate clients, Joe can conduct meetings in his office in Southbury, CT or in other offices located throughout New England and the East Coast. Joe is securities registered in Connecticut, Massachusetts, Rhode Island, New Hampshire, Maine, New York and Florida as well as other states.

A graduate of The University of Connecticut with a Bachelor of Science in Finance, Joe is a native of Connecticut where he now resides with his wife and three children.

This award was issued on 11/1/19 by Five Star Professional (FSP) for the time period 02/18/2019 through 09/27/2019. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 3147 Connecticut-area wealth managers were considered for the award; 289 (9% of candidates) were named 2019 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2018: 3178, 293, 9%, 11/1/18, 2/15/18 - 9/21/18; 2017: 2218, 283, 13%, 11/1/17, 2/15/17 - 9/11/17; 2016: 1985, 417, 21%, 10/1/16, 3/25/16 - 9/28/16; 2015: 2398, 468, 20%, 11/1/15, 3/16/15 - 9/10/15; 2014: 3926, 515, 13%, 11/1/14, 3/16/13 - 9/10/13; 2013: 2263, 531, 23%, 11/1/13, 3/16/12 - 9/10/12; 2012: 2204, 503, 23%, 11/1/12, 3/16/11 - 9/10/11.
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Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Integrated Wealth Concepts a registered investment advisor. Sullivan Financial Services and Integrated Wealth Concepts are separate entities from LPL Financial.

*Winners appearing on this page do not pay a fee to be considered or to win the Five Star Award. Professionals with a digital profile have paid a promotional fee.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria-considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance . Wealth Managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.